Electronic item management and archival system and method of operating the same

ABSTRACT

An electronic item management and archival system for managing and archiving items. Each item includes at least one of image data, audio data, and video data. The system includes a server configured to receive items, archive at least one of the received items to an archive, and retrieve at least one of the archived items from the archive. In some embodiments, the server also includes architecture that supports a pool of threads promoting multiple, independent archive and retrieve operations concurrently.

BACKGROUND OF THE INVENTION

[0001] The invention relates to an electronic item management andarchival system.

[0002] Individuals, businesses, government agencies, and otherinstitutions of all types issue checks and similar financial documentsto make payments in the United States and internationally. There is awell-defined and well-known process within the banking system thatsupports checks as a payment mechanism. Included within this process isthe practice of imaging checks and performing document management on theimaged checks. Example document management processes include archivingand storing the imaged checks. After the checks are archived and stored,later document management processes can include querying the archive andretrieving stored documents from the archive.

[0003] Similarly, there are countless numbers of other industries thatrequire archiving, storing, querying, and retrieving of images, audiorecordings, or video recordings.

SUMMARY OF THE INVENTION

[0004] The invention provides an electronic item management and archivalsystem for managing and archiving items. Each item includes at least oneof image data, audio data, and video data. The system includes anitem-generation device configured to provide items and a server incommunication with the item-generation device. The server is configuredto receive the items from the item-generation device, archive at leastone of the received items to an archive, and retrieve at least one ofthe archived items from the archive. In some embodiments, the serverincludes architecture that supports a pool of threads promotingmultiple, independent archive and retrieve operations concurrently. Someembodiments of the invention can further include a storage device incommunication with the server. The storage device is configured toreceive the archived items from the server and store the received items.

[0005] The invention also provides a host machine for an electronic itemmanagement and archival system. The host machine includes acommunications endpoint that receives items, a processor connected tothe communications endpoint, and software executable by the processor.In some embodiments, the software includes instructions that create oneor more virtual servers. The one or more virtual servers include atleast one server that facilitates independent and concurrentcommunication between multiple Common Object Request Broker Architecture(CORBA) applications and at least one server that creates and manages anarchive.

[0006] The invention further provides a method of managing an archivehaving items. Each item including a virtual object and query dataassociated with the virtual object. Each virtual object is selected fromthe group consisting of image data, audio data, and video data. Themethod includes providing a plurality of items, archiving at least oneof the provided items to an archive, querying the archive, retrieving atleast one of the archived items from the archive, and repeating one ormore of the providing, archiving, querying, and retrieving acts. In someembodiments, the method also includes structuring a bus that allows twoor more of the providing, archiving, querying, retrieving, and repeatingacts to occur concurrently.

BRIEF DESCRIPTION OF THE DRAWINGS

[0007]FIG. 1 is a schematic diagram of an Electronic Item Management andArchival (EIMA) system incorporating one embodiment of the invention.

[0008]FIG. 2 is a diagram of a workstation.

[0009]FIG. 3 is a schematic diagram showing a distributive archive.

[0010]FIG. 4 is a schematic diagram showing the interaction ofrepositories in a distributed network.

[0011]FIG. 5 is a screen print of the Main Menu of the Host Server.

[0012]FIG. 6 is a screen print of the Application Server TerminationProgram Menu.

[0013]FIG. 7 is a screen print of the File Management & Utilities Menu.

[0014]FIG. 8 is a screen print of the Match Menu.

[0015]FIG. 9 is a screen print of an example MCF File List.

[0016]FIG. 10 is a screen print of the Delete Cycle Menu.

[0017]FIG. 11 is a screen print of a sample Audit Report.

[0018]FIG. 12 is a screen print of the Select Services Menu.

[0019]FIG. 13 is a partial screen print of the System AdministrationMain Screen.

[0020]FIG. 14 is a partial screen print of the User Information card.

[0021]FIG. 15 is a partial screen print of the Print User List dialogbox.

[0022]FIG. 16 is a partial screen print of the Groups card.

[0023]FIG. 17 is a partial screen print of the Group Control card.

[0024]FIG. 18 is a partial screen print of the Group List card.

[0025]FIG. 19 is a partial screen print of the Query Filter List card.

[0026]FIG. 20 is a partial screen print of the Filter Information card.

[0027]FIG. 21 is a partial screen print of the Filter Conditions card.

[0028]FIG. 22 is a partial screen print of the Decision ControlCalendar.

[0029]FIG. 23 is a partial screen print of the Decision Window List.

[0030]FIG. 24 is a partial screen print of the Decision WindowInformation card.

[0031]FIG. 25 is a partial screen print of the Widow Conditions card.

[0032]FIG. 26 is a screen print of the Batch Selection window.

[0033]FIG. 27 is a screen print of the View Image window.

[0034]FIG. 28 is a screen print of the Options Dialog window.

[0035]FIG. 29 is a screen print of the Magnifying Glass tab of theOptions Dialog window.

[0036]FIG. 30 is a screen print of the Image tab of the Option Dialogwindow.

[0037]FIG. 31 is a partial screen print of a Right Click menu for theView Image window.

[0038]FIG. 32 is a screen print of the EIMA system home page.

[0039]FIG. 33 is a screen print of the Query screen.

[0040]FIG. 34 is a screen print of the Open Query Dialog box.

[0041] FIGS. 35-37 are partial screen prints of example advance queries.

[0042]FIG. 38 is a screen print having the Query Set text box.

[0043]FIG. 39 is a screen print of the Result screen.

[0044]FIG. 40 is a screen print of the Result screen menu.

[0045]FIG. 41 is a screen print of the Print Setup window.

[0046]FIG. 42 is a screen print of the Image screen.

[0047]FIG. 43 is a screen print of the Import Process screen.

[0048]FIG. 44 is a screen print of the Query Parameters screen.

[0049]FIG. 45 is a screen print of the Query Viewer screen.

[0050]FIG. 46 is a screen print of the Maintenance screen.

[0051]FIG. 47 is a screen print of the Reports window of the Maintenancescreen.

[0052]FIG. 48 is a screen print of an example Report.

[0053]FIG. 49 is a block diagram representing a method of operation forseal verification.

[0054]FIG. 50 is a schematic diagram representing the interactionbetween the CORBA BUS and the archive.

DETAILED DESCRIPTION

[0055] The invention is not limited in its application to the details ofconstruction and the arrangement of components set forth in thefollowing description or illustrated in the following drawings. Theinvention is capable of other embodiments and of being practiced or ofbeing carried out in various ways. Also, the phraseology and terminologyused herein is for the purpose of description and should not be regardedas limiting. The use of “including,” “comprising,” or “having” andvariations thereof herein is meant to encompass the items listedthereafter and equivalents thereof as well as additional items. Theterms “connected,” “coupled,” and “mounted” are used broadly andencompass both direct and indirect connections, couplings, andmountings. In addition, the terms “connected” and “coupled” are notrestricted to physical or mechanical connections or couplings. As usedherein the terms “machine,” “computer,” and “server” are not limited toa device with a single processor, but may encompass multiple devices(e.g., computers) linked in a system, devices with multiple processors,special purpose devices, devices with various peripherals and input andoutput devices, software acting as a computer or server, andcombinations of the above.

[0056]FIG. 1 schematically shows an Electronic Item Management andArchival (EIMA) system 100 incorporating one embodiment of theinvention. For the embodiment shown and described herein, the EIMAsystem 100 is based on an open architecture that accepts any type ofimage, video, or audio data from anywhere; stores, recomposes and/orreformats the image, video, or audio data; and outputs the recomposed orreformatted image, video and/or audio data. For example, the EIMA system100 can reformat print-stream data for use on the Web, via e-mail, orvia fax. The open architecture provides the ability to accommodate newand more efficient technologies while still maintaining thefunctionality of previous systems.

[0057] As used herein, the term “image” data refers to data (or a filehaving data) that represents an image of a physical object. For example,the physical object can be a document (e.g., a financial document) andthe “image” is data representing an image of the object. For anotherexample, the physical object can be a form having entered informationand the “image” is data representing the completed form. Exampleoriginal documents include checks (e.g., for a demand deposit account(DDA)), signature cards, driver's licenses, photographs, applications(e.g., loan applications), reports, and other related documents. Theterm “video” data refers to data (or a file having data) that representsa plurality of images. The term “audio” data refers to data (or a filehaving data) that represents one or more sounds. The original image,plurality of images, or sound(s) are referred to as an “actual” object,and the item includes a “virtual” object representing the actual object.

[0058] Unless specified otherwise, the term “image” is used below toinclude “image” data, “video” data, or “audio” data representing anobject. For simplifying the description below and unless specifiedotherwise, the EIMA system 100 is described in connection with checkprocessing and the image is an image (front or back) of the check.However, the invention is not limited to check processing, and a claimshould not be limited to check processing unless check processing isspecifically recited within the claim.

[0059] Further, while an EIMA system 100 is described in detail below,not all aspects of the system are required in all embodiments. Rather,some embodiments include only some of the components and/or perform onlysome of the operations described below. Additionally, other embodimentscan include additional components and/or include additional operationsthat are not disclosed below but nonetheless can be incorporated withthe EIMA system 100.

I. EIMA System

[0060] As shown in FIG. 1, one embodiment of the invention comprises theEIMA system 100 that includes one or more item-input devices 105, one ormore host servers 110, one or more workstation computers 115, and one ormore peripheral devices 120. Each of these elements is described below.

[0061] A. Item-input Device

[0062] In general, the item-input device 105 provides informationregarding a plurality of images (e.g., checks) to the host server 110.As used herein, the term “information” is broadly construed to compriseimages and data relating to or obtained from the images. For example, ifthe provided information relates to checks, then the information mayinclude the front and back images of each check and data (e.g., MICRdata obtained from the check) obtained from each check. The image(s) anddata for one document form an item. Example item-input devices (alsoreferred to as item-generation devices) include scanners, checktransports, video generation devices having a camera or similarcomponent, sound generation devices having a microphone or similarcomponent, and data feeds for receiving data from other devices (e.g.,web feeds from other devices or feeds that receive previously storeddata including items).

[0063] The item-input device 105 includes a controller 125 configured tocontrol the input device 105 and/or to receive input data. Thecontroller is configured to provide one or more “threads” 130 of data.Additionally, although only one item-input device is shown in FIG. 1,the EIMA system 100 can include multiple item-input devices 105 (asecond is shown in phantom) providing multiple “threads” of informationto one or more host servers 110 via a network connection 135. However,unless specified otherwise, the description below is for a system 100having only one item-input device, and is specifically a check scanner.

[0064]1. Example item-input Device

[0065] In one embodiment, the item-input device 105 includes a NCR 7780scanner having multiple scanning components. The scanner scans financialdocuments (e.g., checks) and obtains related financial data from thedocument in a well-known manner. For example, the related financial datacan include magnetic ink character recognition (MICR) information(account numbers, check numbers and related data, depending on specificsof the documents recorded, and the institution requirements), opticalcharacter recognition OCR information, and similar information. Theresulting images can be in any format (e.g., jpeg, .tif, .bit, etc.).

[0066] The item-input device 110 also includes a controller 125 that,among other things, communicates with the scanner (e.g., via a LAN) toreceive information from the scanner and to communicate the informationto other components (e.g., to the host server 110). Example controllersinclude a computer (e.g., a PC) having software executed by the computerto configure the computer, a specially designed electronic device havingprogrammable logic executed by the electronic device to configure thedevice, or application specific or special purpose circuits.

[0067] The item-input device 110 also has a sorter (e.g., a hard-wiredsorter or a virtual sorter), which may be part of the scanner or thecontroller. The sorter includes a rule-based engine having rules thatcontrol the flow of the resulting scanned images and related data. Thatis, checks are provided to the scanner in a commingled relationship, thescanner scans the checks to create one or more images, the scannerobtains data relating to the checks, and the rule-based engine performsfront-end processing on the checks to sort the checks. For a simpleexample, the rule-based engine may specify that a check having transitnumber “A” be provided on thread A and a check having transit number “B”be provided on thread B. The rule-based engine can include any number ofrules to sort the checks. For other embodiments, the rule-based enginecan include rules based on different image (or video or audio) items(e.g., different types of checks, different types of financialdocuments, etc.). In yet other embodiments, the host server 110 caninclude the virtual sorter.

[0068] The controller 125 further includes one or more connections(e.g., an Ethernet connection) that connect the scanner to the hostserver 110. The connection between the controller 125 and the hostserver 110 can be a direct connection or an indirect connection (e.g.,via a network such as an intranet or the Internet).

[0069] As will be discussed further below, information travelsthroughout the system 100 using “threads.” Each thread 130 containsinformation (e.g., a plurality of items) having one or more similarcharacteristics. Because of the similar characteristics, the sameoperations are performed on the information contained in a thread 130.For example, the information can be routed to a specific host server 110or a specific storage device (discussed below). As will become moreapparent below, the concept of utilizing multiple threads (andconsequently performing multiple processes) can be utilized throughoutthe whole system 100.

[0070] B. Host Server

[0071] The EIMA system 100 includes a host server 110 that runssoftware. As used herein the term software is broadly construed toinclude computer programs, procedures, modules, data, etc. executable byone or more processors. The software includes software modules (alsoreferred to herein as applications) that are executed by the host serverto perform one or more processes or supporting functions. Some of thesoftware modules result in the host server having “virtual” servers. Thehost server 110 is a Hewlett Packard V-Series server in one embodimentof the invention.

[0072] In some embodiments, the host server 110 receives information,including images and related data, from the item-input device 105;processes the information; archives the information; receivesinstructions or requests from the workstation 115; performs operationsbased on the received instructions or requests; and communicatesinformation to the workstation 115 or to the one or more peripheraldevices 120. An example of such a server is the Titan 4.0 server offeredby ImageSoft Technologies of Maitland, Fla.

[0073] For the EIMA system shown, the host computer includes the serverslisted in TABLE 1. It should be noted that not all of the serversdescribed below are required for all embodiments and the EIMA system 100can include additional servers not described below. The titles of theservers and the division of the functions of the servers are forexplanatory purposes only. One or more functions performed by the one ofthe servers may be combined with other servers. TABLE 1 SERVER NAMEDESCRIPTION CORBA Name Server Responsible for facilitating communicationbetween the different CORBA applications, and for handling serverregistrations and requests. Bus Administrator Server Responsible forproviding application functionality and services (e.g., print, export,repair, import, etc.). Parameter Server Provides a central location forstoring parameters that are used to control the operation of servicesand applications on the bus. Its primary role is to store parameters andtrack their modification. Log Server Responsible for logging events andstoring messages that are related to bus archive operations. Set ServerResponsible for maintaining the sets of data in the archive and thedefinition of document types. Index Server Responsible for providingdatabase functionality for storage and retrieval of query data that isassociated with objects stored in repositories. Proxy Index ServerCoordinates and organizes traffic to the index servers. RemoteDistribution Server Handles the print and fax capabilities of Export.This server allows users to remotely log in and request a print or faxjob. Disk Repository Server Responsible for data mining and retrieval ofobjects stored on disk. Optical Administration Server Responsible forimporting and exporting cartridges from the optical jukebox. OpticalRobotics Server Responsible for running optical services. OpticalRepository Server Responsible for storage and retrieval of objectsstored on an optical storage device. Tape Repository Server Responsiblefor storage and retrieval of objects stored on tape. Repository ProxyServer Responsible for storage and retrieval of objects stored on RAID,optical, and tape. Access Server Manages user definitions and securitypermissions for those users. All access from the Web server interface isfunneled through the Access Server. The Access Server is the portalthrough which client applications are delivered through a graphical userinterface (GUI) to the end user. The Access Server is an application onthe CORBA bus. Generic Import Server Responsible for the import of dataand images during an Image Capture session. Repair Server Responsiblefor Repair GUI. Export Server Runs Reconciled Export.

[0074] TABLE 1A SERVICE DESCRIPTION Bus Service At the service andapplications level, the Bus Service is responsible for coordination ofthe entire archive. It coordinates the access that applications needwith the services provided by the Bus Services. Bus The Bus Applicationsservice controls communication of Applications the applications thatprovide application functionality Service and use of these services onthe bus archive. Repository Storage and retrieval of objects (images),i.e., RAID, Service Optical and Tape, is the responsibility of theRepository Service. However, the Repository Service is not limited tothese functions. Indexing Provides the database functionality forstorage and Service retrieval of query data that is associated withobjects stored in the Repository Services. Set Service Maintains thesets of data in the archive and the definition of document type(classes). Parameter Stores parameters and tracks their modification.Service Parameters are stored in tables (e.g., Sybase tables). TheParameter Service controls the operation of services that need toreference these parameters. Log Service The Log Service provides acentralized method and location for logging events, and storing messagesrelated to the operation of the bus archive. The messages are stored intables (e.g., Sybase tables). Redundancy/ Coordination between archivesthat have parts of their Replication data replicated at one or morelocations is the function of Service the Redundancy/Replication Service.

[0075] 1. “CORBA” Bus

[0076] Among other things, in some embodiments the servers provide amultiple-threaded bus that allows multiple lines of communication tooccur between modules of the system. For the embodiment describedherein, the bus is based on a CORBA architecture. Other architecturescan also be used without departing from the invention.

[0077] In general, the Common Object Request Broker Architecture(“CORBA”) is a standard created by the Object Management Group (“OMG”)that enables operation between different computers, operating systems,and programming languages (e.g., distributive computing). The CORBAstandard generally specifies how client applications may invoke requestson server objects. CORBA specifies the Object Request Broker (“ORB”)that allows applications to communicate with one another regardless ofwhere the applications reside on a network. Using a standard InternetInter-ORB Protocol (“IIOP”), a CORBA-based program from a vendor, onalmost any computer, operating system, programming language, andnetwork, may communicate with a CORBA-based program from the same oranother vendor, on almost any other computer, operating system,programming language, and network. The IIOP specifies how ORBscommunicate over networks and can utilize TCP/IP implementation of aGeneral Inter-ORB Protocol (“GIOP”). The GIOP defines aspects of ORBcommunication including how messages are sent, how bytes are ordered,and how parameters are arranged for remote object invocations.

[0078] Creation of a distributed computing system based on the CORBAstandard can generally begin with an outline of desired functionalityand translation of the design into software objects. The objects areexpressed in terms of Interface Definition Language (“IDL”) interfacesand collected into related modules. In one embodiment of the invention,the IDL is utilized for creation of Application Programming Interface(“API”) definitions that define how the client and host server systemscommunicate. One or more IDL files are compiled to generate stub codeand skeleton code. The stub code becomes the interface that clientapplications use to initiate an operation from a server and isprogramming language independent. The skeleton code provides theinterface to object implementations that the host and/or virtual serversmay provide. Libraries provided through the IDL compilation provide themechanism for communication between client and host server processes.The CORBA specification ensures that this communication be platform andlanguage independent. Host and/or virtual server applications arecreated for publishing the object references by name through a namingservice and, upon the request of a client application, a reference to ageneric CORBA object is returned. This object reference is then narrowedto the stub representation of the remote CORBA object. The client canthen invoke operations through the stub reference as if the object waslocal to the client. Requested operations from the client applicationare sent to the skeleton reference obtained through the naming service.Using the ORB, CORBA IDL stubs and skeletons serve as a connectionbetween client and server application threads. In addition, each clientand server can have threading definitions defined in a Portable ObjectAdapter (POA), which controls the communication to a CORBA Object byassociating the object with the ORB. Each POA service may use singlethreaded or multiple-threaded communication protocols and themultiple-threaded protocols may be further defined as “pools” of threadsor as a thread per client. The machine independence of the CORBAstandard, as utilized by embodiments of the invention, allows formultiple processes to communicate across machines, platforms, andlanguages, thereby providing a distributed computing environment.

[0079] In another embodiment, the CORBA communication protocols areutilized to abstract client and server interactions. Using the IDL, APIsare created that separate the architecture logic. Therefore, the CORBAcommunication layer acts to “hide” or “mask” the host and virtualservers from the client or business logic. Each server process in theEIMA system 100 can be defined to utilize the multiple-threaded “pools”of threads, thereby allowing non-blocking calls to be handled from alarge number of client applications. Each client application can behandled independently and, therefore, do not block each other duringcommunication with the servers. The name service and event service,defined by the CORBA specification, are used to handle name lookups forservices and event routing or channeling. In addition, a host or virtualserver may execute multiple Generic-Input Applications (“GIAs”),statement prints, and exports at the same time, all of which may executeindependent of each other and interact separately with an archive ordatabase. Implementation of the CORBA bus in this embodiment alsoincludes providing object services for use by multiple distributedobject programs. These services include domain-independent interfacessuch as the naming service, a trading service, a repository service, anindexing service, a set service, a parameter service, a log service, anapplication service, and a redundancy/replication service. The servicesare available to CORBA objects and a client may initiate multipleservices if desired. For example, a client application may invokemultiple services when interfacing data with input/output (“I/O”)devices. Alternatively, multiple threads can exist within the servicesthemselves. For example, depending on the operation, a user or clientmay invoke multiple threads within the repository service. In someembodiments, the EIMA system may also implement a factory conceptwhereby a server is a service “factory” that handles queries each time aclient connects and requests an individual session. Each session managesits own client and then allows for the abstraction and separation oflogic for multiple client applications.

[0080]FIG. 50 schematically shows one embodiment of the interactionbetween a plurality of applications 5000 (discussed below), the CORBAbus 5005, and the archive 5010 (discussed below).

[0081] 2. Applications

[0082] In addition to the software already described above, the hostserver 110 includes additional modules that interact with the one ormore workstations to perform additional operations. This suite ofmodules generally comprise two sets of modules: 1) management programsand utilities (collectively referred to as management programs), and 2)Web-based user programs. The management programs allow an administratorto control the host server and, more broadly, the EIMA System. TheWeb-based programs, which run in a Web browser (e.g., InternetExplorer), are accessed from an EIMA Web site and allow users to performoperations (e.g., perform queries, print statements, export objects,etc.) on the archive. Various software modules that interact with theworkstation are summarized in TABLE 2 and are further discussed indetail in the operation section. Similar to the servers, not all of themodules described below are required for all embodiments and the hostserver can include additional modules not described below. The titles ofthe modules and the division of the functions of the modules are forexplanatory purposes only. One or more functions performed by themodules may be combined with other modules. Additionally, the operationsection below may include additional modules that are not listed inTABLE 2, but would be apparent based on the description. TABLE 2 MODULENAME DESCRIPTION Server Management Controls the operation, includingstarting and stopping, of the servers. Image Capture Imports images orexisting databases into the image archive database. Image Match Verifiesthat data in the Match Control File (MCF) matches the captured data inthe archive. Reports Creates various reports. Text File Batch QueryLists the required parameters for a text file batch query? (TFBQ)Exporting Images Exports images to a CD-ROM writer. File ManagementManages files and databases including deleting database cycles, deletingdatabases, and migrating from RAID to optical. Image Print Retrieves asubset of images from a database cycle for statement printing Repair GUIHelps control the quality of the Image Capture process by allowing theuser to view images as well as correct MICR field data. Optical and TapeEnables the system to store images on optical disc or Administrationtape. Reconciled Export Exports and distributes the results of a queryto a CD- ROM writer. NetQuery A Web-based program that allows a user toquery and view document information and images in a Web browser SystemAdministration A utility that system administrators can use to controluser access and activities in the EIMA system 100. Decision SupportSupport adds the capability to NetQuery to manage pay/no pay, payamounts, and other factors for documents with fields that trigger thecapture program’s Exception Code generator. TIFF Image Import UtilityImports TIFF images for the purpose of transferring images from the mainlocation to a satellite location. Batch Update Updates user fields in aquery table after the cycle has been ingested into the archive databaseArchive Store, track, and access images as they are migrated from onetype of storage device to another Capture Recovery Rolls back tables andpost information regarding the last item correctly ingested during ImageCapture. Verify Capture Matches items in the flat file with rows in theIndex table and provides reports with results of the match MICR ExitChanges data corresponding to an Image to conform to the data providedin the MCF.

[0083] A number of the applications summarized above form aGeneric-Input Application (GIA). The GIA is an application that receivesdata from the scanner 110, performs operations on the data (e.g., forconsistency), and archives the data to one or more databases. The one ormore databases form an archive (discussed further below). Exampleoperations performed by the GIA include: Image Capture, Image Match,MICR Exit, Batch Update, and MICR exit.

[0084] Before proceeding further, it should be noted that an identifierused for identifying a particular component, application, tool, engine,operation, act, button, etc. is for identifying that component,application, tool, engine, operation, act, button, etc. only, and shouldnot be limiting. For example, the term “Image Capture” identifies anapplication used by the EIMA system 100 for capturing images. Otherterms for identifying the application could be used in place of “ImageCapture.”

[0085] The operations of some of the applications in TABLE 2 are brieflydescribed below. A more detailed discussion of these applications arefurther discussed in the operations section below.

[0086] a. Image Capture

[0087] Image Capture allows a user to import images through 1) scanningdocuments into an archive and then using Image Match (discussed below)to insert images into the database, 2) importing raw files from disk ortape, 3) importing TIFFs or other objects, or 4) importing textdocuments using the Import Server.

[0088] b. Image Match

[0089] Image Match verifies the contents of an image database with auser-supplied match control file (MCF) and prepares the images for ImagePrint. The Image Match process verifies that all images expected forcapture were captured and that no extra images exist. Images referencedin the MCF but not found in the database are referred to as missingitems. Images in the database but not referenced by the MCF are calledfree items. After the images are validated by this process, they can beprinted with statements (Match for Print). When Image Match is complete,it generates Missing and Free Items reports and appends a record to anAudit report, which lists the processing statistics.

[0090] c. Batch Update

[0091] The Batch Update feature lets the user update user fields in aquery table after the cycle has been ingested into the archive database.In Batch Update, the user loads data from a specified source file ortape in a temporary table. This data file can include all or some of theitems in a cycle. The EIMA system 100 finds matches in the cycle withitems in the file. Only matched items will be updated with the fixeddata in the input file. Batch Update is an option that appears at theend of an Image Match session.

[0092] d. Image Print

[0093] Image Print controls the statement printing process. It combinesstatement text data in the print control file (PCF) with the images fromthe image database to produce statements with images, instead oforiginal items. The resulting imaged statement can be sent directly tothe printer and/or to tape for offline printers, mainframe printers, orselective reprints. When the Image Print process has completed, a recordthat lists the processing statistics is appended to the Audit report.

[0094] e. Archive and Optical and Tape Administration

[0095] The archive function is used to store, track, and access imagesas they are migrated from one type of storage device (discussed below)to another. When images are first captured, they are initially stored onthe fastest retrieval media (local hard drive) or RAID. After the imageshave been retained on the hard drive for a designated period of time,they are migrated to other media for more permanent storage. Thearchiving and distribution functions enable the system to store imageson optical disk or tape.

[0096] f. Reconciled Export

[0097] Reconciled Export allows the user to export and distribute theresults of a query to a CD-ROM writer. In one embodiment, the exportedimages are written as compressed, tagged image file format (TIFF)graphic images. You can use Image Library Offline to view and organizethe CD-ROM images.

[0098] C. One or More Peripheral Devices 120.

[0099] The one or more peripheral devices 120 include one or more memorydevices for, among other things, maintaining the archive. The one ormore memory devices can include RAID, optical storage, tape-storage andsimilar storage devices. The one or more memory devices store aplurality of databases that form an archive, which can be of varioustypes including “local” or “distributed.” As will become more apparentbelow, a distributed archive can include multiple local archives.

[0100] 1. Local Archive

[0101] An archive is designed to hold any type of item. That being saidit is necessary to have routines to pass items to the archive, exportitems from the archive, and view items in the archive. In oneembodiment, the local archive supports three storage media for imagestorage and one storage media for indexes.

[0102] The three media or tiers of the archive are RAID, Optical, andTape. The composition of the archive is driven by cost, retrieval time,and/or service agreements. Each media has its advantages anddisadvantages. RAID is a random accessible media with the highest costper byte of storage, but it is self-recoverable and very fast. The costof this media is falling but it still remains expensive per bytecompared to other media.

[0103] Optical is a random accessible media, which uses a jukebox toreduce the number of active drives required to provide a level ofservice. The media is never brought into direct contact with anythingthat will damage it and as a result it is a very reliable long-termstorage media for high activity with long life. This media is the bestof the three for long-term storage and retrievability without aduplicate backup. With the ability to use multiple drives at any pointin time, this media is highly accessible at a much lower cost per bytestored and can provide the fast access necessary for on-line queries.

[0104] Tape is a serial media, which uses a silo to manage the tapemedia. This is viewed by many institutions as the preferred media forlong-term storage even with the need to maintain a duplicate of eachmedia to insure recoverability. The media is brought into contact withthe read/write heads and as a result is very susceptible to damage ifused highly over a period of time. This media is the least expensive perbyte stored but it is also the slowest media. The speed of theretrievals from this media is a direct function of the speed of thedrives and the technique used to store the data on the media.

[0105] Each industry will have its own migration strategies relating tothe movement of the images among levels of the archive. There areseveral methods to achieve this migration. The following discusses thedifferent methods available to the institutions using an archive of theinvention. Unlike previous archives, the archive of the invention movesimages from any archive tier to any other archive tier. Also, throughthe use of different capture processes, the objects being received intothe archive can be placed on any tier of the archive and any of thedistributed archive locations at the same time. There are manyconsiderations to doing this and just because the archive is capable ofit does not mean that it is in the institutions' best interest to usethis capability. Additionally, it should be understood that otheraspects of the EIMA system 100 can use an archive of the prior art.

[0106] a. Migrate From the RAID Tier to the Optical Tier to the TapeTier

[0107] This is the traditional method used by institutions and it allowsthe institution to purchase the least expensive solution while providinga system that supports good response time and the ability to optimizethe data that is stored. This method allows the user to do all repairwork on the object and deletion of extra objects prior to the migrationto the next level of the archive. Some institutions will migrate fromthe RAID tier once maintenance is complete to both the Optical and Tapetier at the same time. Many institutions have the ability to store theobject at capture time on all Tiers of the archive used by the site.This capability is available through the use of the prime pass capturecapability, but the institution looses the ability to optimize thestorage of objects identified later. The institution will inherently usemore storage because the objects that are deleted during maintenanceremain present on the slower tiers of the archive using space eventhough they are not accessible due to the deletion of the indexes.

[0108] b. Direct Capture to any Tier

[0109] This is available with the archive of the invention. In oneimplementation, the capture controller software takes a match controlfile (MCF) file from the mainframe that has the database to which theitem is to be sent, and the document identification number (DIN) numberof the item as part of the MCF entry. This allows the capture controllerto read the MCF, populate all the data fields, use the DIN number topull the item images, and send the item down the thread to the properdatabase. An advantage to the institution of this type of activity isthat it avoids the time-consuming migration process from one media typeto another. However, a detriment to the institution is that this methoddoes not provide any method of optimizing the way objects are moved tothe slower tiers of the archive so as to allow for retrievals that willroughly match the higher speed tiers of the archive.

[0110] c. Current Migration Strategy

[0111] To avoid the need to go through very time consuming reorganizesof the storage, the objects are migrated in large blocks, which, forexample, can represent a days capture. Until all the objects in a blockhave been migrated, the block space cannot be freed for the storage ofnew objects. This method works well for all parts of the archive thathave random access and if the long term archive tier is used verysparingly this method will also work for the serial tier of the archive.Because many institutions want to go to two tier archives it has becomenecessary to provide a migration strategy that will organize the objectplaced on the serial media in a way that will facilitate the optimalretrieval of the objects from this tier. The following defines thisoptimal migration strategy.

[0112] d. Organized Migration Strategy

[0113] This method can be used most effectively when an institution hasa minimum number of days (e.g., 45 days) of RAID object storage. In thiscase, the migration takes place over a ten-day period for the previousthirty days of items on the archive. One tenth of the previous 30 daysis migrated to tape every day so that after ten days all the items havebeen migrated. Of course, a different proportion can be used. Theseitems are organized on the tape according to what data elements are usedthe most to retrieve the object. Once all the items have been migratedfrom this 30-day period, all the objects are deleted in a way so as tokeep the number of days defined in the service level agreement (SLA) onthe high-speed tier and the space is freed for the capture of additionalobjects. Once there is 30 days of un-migrated data on RAID, the 10-daymigration cycle begins again. This method of migration is tailored tothe maximum retrieval speed of objects on the long-term archive. With 45days of RAID, the user has the long-term archive optimized on a 30-daybases and the days of storage are used in the following way:

[0114] First 30 days of storage period is being migrated.

[0115] Second 10 days of storage period is used to migrate the objectsfrom the first 30 days.

[0116] Third 5 days of storage period is used as safety to insure thatif any problems are encountered in the migration there is time to solvethe problems and complete the migration.

[0117] Once all the 30 days of cycle objects have been migrated, theserver proceeds to delete all cycles until no non-migrated cycles remainthen.

[0118] The process repeats again after 15 days of no activity (when weare again at the 31 day in a new period).

[0119] e. Capture to Database

[0120] This capability allows the capture of any object into anydatabase on either a collective basis or an individual object basis.When a capture is started it can be directed into a specific databaseor, through the use of a front-end capture routine, can route theindividual objects to different databases based on the accompanyingindex data. In the case of an item-processing department, this meansthat transit items can go to one-database and on-us items to a differentdatabase. This also means that the banks that process for other bankscan route the items for each of its bank customers to its own database.

[0121] 2. Distributed Archive

[0122] a. Introduction

[0123] When an institution outgrows a single site environment or wouldlike to have more than one active system to back-up data, a distributedarchive can be used. The distributed archive feature allows someembodiments of the invention comprising the EIMA system 100 to add datato multiple separate archives at multiple locations, while providingmany threads of internal archive access. The feature supportsmaintenance and retrieval of archive data from the various sites, inaddition to optional long-term storage sites within the network. Eachlocation has all the capabilities identified as basic to the localarchive but, through the distributed archive, capabilities appear toeach application (e.g., Export, Statement Print, Query, etc.) as if theplurality of archives are one distributed archive.

[0124] In one embodiment, the distributed archive is server based andmakes full use of the CORBA Bus. The distributed archive server makesall sites look and operate as one. This means that any function thatoperates at one location can have full access directly to all otherlocations within the security capabilities allocated to the distributedarchive. The speed of the distributed archive is only constrained by thespeed of the line connecting the geographically dispersed locations.

[0125] To manage the network traffic and to eliminate the delivery ofduplicates, the distributed archive includes internal rules. Exampleinternal rules include rules for routing request to the fastest servicelocation and rules that allow for the removal of duplicates prior toresponding to a query.

[0126] As shown earlier, through the use of the direct capture to adatabase capability, there is the ability to deliver items to manydatabases at the same time with each database on different media andlocations. An update capability can be used to automate the updating ofall locations that house the same item. This capability makes full useof the distributed archive capability of the system to find alllocations housing an item that is being updated and then it also is usedto update the same items held in different databases as well as atdifferent geographical locations.

[0127] In some embodiments, the distributed archive provides theinstitution with the ability to have different geographical locations,provides full “hot” backup for other locations without forcing thepurchase of full redundant hardware at each location and/or differentphysical servers in a single location (or any combination of physicalservers and geographical locations), and/or provides hot backup forother locations (or servers), thus leveraging the use of existing andplaned hardware. The loss of a single geographical location does noteffect the retrieval of requested information from sites that areoperational and, if the same data is redundant in an alternate location,the request is be fully satisfied automatically from the alternate site.If the data is not held at an alternate location or has not arrived atthe alternate location, the requesting user is provided with allavailable data and is notified that a site is down that may haveadditional data and that the user may want to request that data at alater time. When the site that is down comes back on line, it willconnect back into the network automatically and without the involvementof institution personnel.

[0128] If the distributed archive is used with a hot backup strategy,then it can be coupled with the appropriate migration strategy. If theinstitution has enough bandwidth on their network, this synchronizationis done through the network. If the institution's network is not robustenough to handle the volume created by image data, it will be moved viatape. When tape is used to synchronize the archives, then, when the tapearrives at the remote location and is loaded into the appropriate tierof the archive, the indexes at the distributed location are updated anda verification record is forwarded to the originating locationidentifying the fact that the synchronization tape has arrived and isnow in the remote location. If no synchronization record arrives after aperiod of time, a new tape is created to replace the original tape.

[0129] Although specific installations may vary on the basis of hardwareand/or network configuration, the functionality remains the same forsome embodiments of the invention. The use of CORBA and Java enable theEIMA system 100 to run on any operating system and hardware, regardlessof platform, database, operating system, programming language or networkhardware/software used. The distributed architecture is highly scaleableand is sufficiently dynamic to accommodate a verity of potential archivesystems. Further, the Java programming enables the system to link toother Web-centric applications (e.g., online banking).

[0130] In some embodiments, the distributed archive contains multiplesites all of which have the capability of querying across connectedsites. A set of user-defined rules determines the level of querycapability accorded to each user of the system. Query capability is thefunctionality of being able to search the system indexes on the basis ofan individual object attribute or combination of object attributes tofind the token necessary to retrieve the desired object. Querycapability can be either local or global. Retrieval of an object on thebasis of a call with a token argument is not considered querycapability, it is simply a retrieval operation supported by a low-levelmedia specific local index.

[0131] Upon the completion of either prime pass capture, utilizing ImageImport, re-pass capture, MICR repair, match and missing/free itemresolution (all of which are discussed further below), a captured itemsindex is stored and available for query and retrieval. If any changesoccurred in the index data as a result of any of these activities andthe objects have already moved to the alternate location(s), then updateindex data should automatically be forwarded to all locations nowhousing the object. Access to these items, as well as items captured atother sites within the distributed environment, will be facilitated bythe appropriate distribution Proxy(s). The Proxy Servers provide theability to submit requests and return responses from multipledistributed locations without any user intervention. This ability tosatisfy individual query and retrieval requests by gathering responsesfrom multiple sites is the foundation of Distributed Archive.

[0132] Items captured at a particular site can remain at that site onany installed and supported media (magnetic disk, optical platter ortape) for as long a period as is suitable to the needs of theinstallation. This time period could be as short as one day or could becounted in years. Additionally, captured data can be exported in wholeor in part to one or more Global Archive Sites at any time and then bedeleted from the original source location once it is confirmed that thedata has been successfully archived at the new site. This deletionindicator only indicates that the item is eligible for deletion. Theactual deletion is governed by the local archive parameters.

[0133] In a purely geographically distributed archive, indexes reside onthe same server as the tables showing the physical address of images onvarious media. To the system, physical locations may appear as a singlevirtual index.

[0134] b. Use of the Distributed Archive in Providing Institutions WithItems.

[0135] In one embodiment, users of the distributed archive areinstitutions with multiple facilities that are used for item processing.The institutions typically have network connections between theassociated sites (e.g., a WAN). However, the system configuration can beadapted based on the user's access needs, locality of reference, anddesire to modify existing network connectivity. The network speed andtraffic pattern can dictate the objects are moved via sneaker-net viathe high-speed network. An institution having the distributed archivecan also be a very large processing center which has many clusteredcapture platforms, each operating independently, but to the user beingviewed as a single unit.

[0136] In some embodiments, every location is considered a masterlocation; there are no slave or redundant locations. When objects aremoved from one location to another, that data is imported into the newlocation and the introduction of a new item into an archive cause noaction except the update of the object and index archive. If any indexitem is read for the purpose of updating a query, the index item is setto all locations to determine if that index set is held at a differentlocation. All locations that respond instruct to make this index setread only for the duration of the update operation.

[0137] All updates to the indexes are distributed to all locationshaving the same index set. This is done by monitoring the writeoperations, retaining all the changes to the indexes, then issuing adistributed query for the item that was changed and sending the changesto all locations responding that this object is held at the location. Ifany location fails to respond, the update is held until a response isobtained from the location that the item updated is not housed. Once allsites are updated then the read only lock can be removed from all otherlocations.

[0138] Security features exist on two levels in some embodiments: 1)within the application and 2) through the login and password featuresprovided by the database management system. The security facility withinthe application is used in establishing a connection to the databasedata server.

[0139] By consolidating similar objects together, the archive reducesthe number of tapes involved in retrieval and makes more objectsavailable on a single tape storage media. As an example, if a subpoenawas received for all items that were received for an account over theprevious 4 years, this request would be processed as follows:

[0140] (Present Process) Each cycle is migrated to tape and depending onthe size of the tape there can be any number of cycles on a tape. Forpurposes of this example there will be only one cycle per tape and onerequired object per tape. With 260 cycles per year this would mean tosatisfy this request would mean that it would be necessary to mount 1040tapes less the number of cycles still on tiers 1 and 2 assuming at leastone item is received daily.

[0141] (Organized Migration Strategy) The number of days of items on asingle tape is a function of the number of days of tier 1 storage thatthe institution has purchased (see Organized Migration Strategy earlierin this document). If there are 45 days of tier 1 storage, then a singletape will have 30 cycles worth of objects for this account groupedtogether on a single tape. This would mean that to satisfy the requestthe system would only have to mount 35 tapes less the number of cyclesstill on tier 1 and 2. This represents 3.37% of the mounts when comparedto the prior art systems and the number of mounts will go down in directrelationship to the number of days of tier 1 storage that is maintained.

[0142] In some embodiments, the virtual sorter front-end to GIA providesthe ability to take a feed from any device either prime pass or re-passand route the objects through the use of rules to any database. Thedatabase thread to which the item is routed retains its ability to havea MICR exit tied to that thread only. When the transaction exitcapability is added to the virtual sorter the institution now has theability to populate a transaction identification field identified in theclass definition for the type of object being captured. The compositionof a transaction is defined by rules contained in the exit and isindependent of the rules used to route an object to a database. Theapplication of the transaction rules is done prior to the application ofthe routing rules.

[0143] The following example is how item processing can use the abovecapabilities to maintain the content of a deposit as a transaction:

[0144] In this case the items are arriving from the prime pass and eachdeposit ticket precedes the checks associated with the deposit.

[0145] The exit rules state that whenever a deposit ticket isencountered a unique identifier is to be generated and inserted into thetransaction identification field.

[0146] The exit rules further state that the current unique identifieris to be placed in the transaction identification field of any objectencountered that is not a deposit ticket.

[0147] Once the transaction exit rules have been executed the objectproceeds to the routing rules which can state anything, but as anexample the following has been defined: any item with this institutionsroute/transit number will be sent to the On-Us item database, any itemhaving a different route/transit number will be sent to the Transit itemdatabase.

[0148] Once the objects are in the archive the user can make use of theindex database and define different views of the archive based on howthe user wants to use the items in the archive. The transaction fieldmay or may-not be part of the data used to create these specializedviews. In most cases these workflow related archive views will be onlyavailable for specified periods of time and will be used for veryspecial work processing.

[0149] Through the use of this capability the user can structure anyviews they please of the archive no matter whither the items are held inthe archive in different databases at their local facility or atdifferent locations. In the case of the financial institution theseviews can include: all-items in Capture Sequence, cash letter (which canhave multiple document types tied together by unique depositidentification), on-us (or account) number order, route/transit numberorder, exception items (which can be by type, institution, etc.), highdollar amount, etc.

[0150] c. Site Management Reports

[0151] To better manage the distributive archive it may be necessary toprovide more and better reports on what is going on within the archive.These reports can take the form of screen and paper reports, and can beused to balance the transaction activity within the archive.

[0152] As an example of a management report, the system can balance thenumber of items received from a sorter with the number of items sent.Further, the system can balance the number of images that should havebeen sent against the number received and archived by database. In oneembodiment, these reports address all parts of the system in such a waythat there is no function performed in the system without appropriatebalancing and management reports. This balancing and managementreporting can include: capture, export, print, queries, and inventory.

[0153] d. Performance Requirements

[0154] The performance of the distributed archive is largely dependentupon the network configuration. The system architecture is designed tominimize the data to be sent over the network by limiting networkactivity to remote procedure calls and image movement upon queryrequests only. Large data movement between archive sites is targeted forhigh-volume media such as tape. However, nothing in the system designwill preclude the use of a network for large-scale image movement forinstitutions who wish to invest in network communications withsufficient bandwidth to support that activity.

[0155] e. Export to a Remote Archive

[0156] Export to a remote archive allows for data captured at any siteto be exported to any other location. The export media can be a tape,which can then be physically transported to another site. Alternately,the network connection can be utilized for an export to a remote site.Export can also be directly to an NFS mounted UNIX file system or a PCbased Remote File System (RFS).

[0157] Once transported to the new site, the information can bereingested into the remote archive through the GIA module. Once the datais successfully ingested into the archive a message can be sent to theoriginating site indicating that the original data has been successfullymigrated and it can be deleted when its retention time expires.

[0158] Due to the large volumes of data to be exported, the exporteddata will be drawn directly from the local archive as the export is inprogress, only a catch large enough to insure maximum networktransmission speed will be maintained.

[0159] f. Example

[0160] An example of a distributed archive 300 configured in accordancewith some embodiments of the invention is shown in FIG. 3. Site A sendsits data to Site B for backup and Site B sends its data to Site A forbackup. Since Site C does not have a tape silo and it keeps only 180days on raid and optical. Site C sends their data to both Site A andSite B. For this embodiment, there are two copies of Site C'sinformation. The end result is that there are two copies of all data.Distributive Archive allows multiple copies to be at multiple locationsand allows a site (e.g., Site C) to search multiple sites. Site C canuse the distributed network to obtain the data as fast as possible andbased on its location and the network speed to either Site A or Site B.

[0161] g. Functional Description

[0162] For a local archive, a Repository Proxy Server managescommunications with Optical Repository, Tape Repository and DiskRepository. For a distributive archive, in one configuration, eachrepository creates a Remote Repository Proxy. The Remote RepositoryProxy communicates with the local Optical Repository, Tape Repository,and Disk Repository, but it will also log into the remote buseslocations and communicate with the Optical Repositories, TapeRepositories, and Disk Repositories (See FIG. 4).

[0163] When the Remote Repository Proxy is called, it is provided with alist of items needed. The indexes are retrieved without starting actualimage retrieval until the user tags the image as needed. A similar proxycan be used for the index database.

[0164] h. Other Peripheral Devices 120

[0165] As will become apparent below, the one or more peripheral devices120 can include other devices such as a printer (e.g., Xerox, IBM, andHP-PCL compatible printers) for printing statements, an optical discwriter (e.g., a CD-ROM writer), a communications port for sendingfacsimile transmissions or electronic communication (e.g., email)transmissions, or other known peripheral devices.

[0166] D. One or More Workstations.

[0167] In some embodiments, the one or more workstations 115 provides aninterface between the EIMA system 110 and a user or administrator,provides requests or instructions (both also referred to as inputs) tothe host server 110 (which are initiated by the user or administrator),receives information from the host server 110 (e.g., originating fromthe archive), and provides information to the user. An exampleworkstation is a personal computer. However, other workstations arepossible including Unix machines, laptop computers, handheld devices,Internet appliances, and similar devices. The operation of theworkstations for initiating an application (e.g., a query, an export, astatement printing, etc.) are further described in the operationssection below.

[0168] A diagram of one workstation 115 is shown in FIG. 2. One specificworkstation is an Intel™ based computer employing a Windows™ operatingsystem and an Explorer™ browser. Other types of computers withappropriate operating systems can be used.

[0169] The workstation 115 includes a communications port 200 forcommunicating with the host server 120, one or more input devices, and avisual display unit 205. In one embodiment, the one or more inputdevices includes a keyboard 210 and a mouse 220 that allows a user toinput data to the workstation 115. Other data input devices can be usedincluding a keypad, trackball, touch screen, touchpad, pointing stick,microphone or similar device. The input devices 210 and 220 having acorresponding driver program stored in the workstation allowing theworkstation to communicate with the input devices 210 and 220. Thecorresponding driver program for the mouse 34 is a pointer driverprogram that generates a “pointer” on the display unit 205. The pointerdriver program allows the pointer to be moved on the visual display unitwhen a user manipulates the mouse 220 and to select items when the userpushes buttons on the mouse 220 in a prescribed order. Of course otherinput devices can have corresponding driver programs and can performfunctionally similar to the mouse 220.

II. OPERATION

[0170] A. General Description

[0171] While the discussion herein relates to scanned documents (andspecifically checks) other objects, including video and audio objectscan be imported, archived, and exported. The names of the modules (orapplications) below are for explanatory purposes only. The operationsperformed by most of the modules described below can be extended toother types of objects. Additionally, none of the modules describedbelow are essential to the invention, although many embodiments use manyof the modules.

[0172] 1. Image Capture

[0173] Image Capture allows a user to import images through 1) scanningdocuments into the EIMA archive and then using Image Match (discussedbelow) to insert images into the database, 2) importing raw files fromdisk or tape, 3) importing TIFFs or other objects, or 4) importing textdocuments using the Import Server.

[0174] For checks, Image Capture inputs scanned images and associatedMICR data and then stores the MICR data in a temporary table. Anyrecords with invalid MICR data are automatically flagged for repair, andRepair GUI (discussed below) is used to validate these records.

[0175] 2. Image Match

[0176] Image Match verifies the contents of the image database with auser-supplied match control file (MCF) and prepares the images for ImagePrint. The Image Match process verifies that all images expected forcapture were captured and that no extra images exist. Images referencedin the MCF but not found in the database are referred to as missingitems. Images in the database but not referenced by the MCF are calledfree items. After the images are validated by this process, they can beprinted with statements (Match for Print). When Image Match is complete,it generates Missing and Free Items reports and appends a record to anAudit report, which lists the processing statistics.

[0177] 3. Batch Update

[0178] The Batch Update feature lets the user update user fields in aquery table after the cycle has been ingested into the archive database.In Batch Update, the user loads data from a specified source file ortape in a temporary table. This data file may include all or some of theitems in a cycle. The EIMA system 100 finds matches in the cycle withitems in the file. Only matched items will be updated with the fixeddata in the input file. Batch Update is an option that appears at theend of an Image Match session.

[0179] 4. Image Print

[0180] Image Print controls the statement printing process. It combinesstatement text data in the print control file (PCF) with the images fromthe image database to produce statements with images, instead oforiginal items. The resulting imaged statement can be sent directly tothe printer and/or to tape for offline printers, mainframe printers, orselective reprints. When the Image Print process has completed, a recordthat lists the processing statistics is appended to the Audit report.

[0181] 5. Archive and Optical and Tape Administration

[0182] The archive function is used to store, track, and access imagesas they are migrated from one type of storage device to another. Whenimages are first captured, they are initially stored on the fastestretrieval media (local hard drive) or RAID. After the images have beenretained on the hard drive for a designated period of time, they aremigrated to other media for more permanent storage. The archiving anddistribution functions enable the system to store images on optical diskor tape.

[0183] 6. Reconciled Export

[0184] Reconciled Export allows the user to export and distribute theresults of a query to a CD-ROM writer. In one embodiment, the exportedimages are written as compressed, tagged image file format (TIFF)graphic images. Image Library Offline can be used to view and organizethe CD-ROM images.

[0185] B. Operation of One Embodiment of the EIMA System

[0186] 1. Overview of the Main Menu of the Host Server as Accessed by aWorkstation

[0187]FIG. 5 is a screen print of the Main Menu 500 of the host server110 as accessed by a workstation 115. To access the Main Menu 500, auser establishes a TELNET session using the workstation 115 to theappropriate host (e.g., Unix) server 110 as is known in the art. Theuser then enters a login name and password. Assuming the login name andpassword are correct, the user enters the name of the Main Menu 500 atthe prompt (e.g., Unix prompt). The Main Menu 500 then opens. The MainMenu 500 contains options for setting the document type, database, andcycle, and also has options for launching the submenus of systemmodules.

[0188] Before most EIMA system 100 procedures can be performed, the userspecifies the document type, database, and cycle on which the user wantsa particular function to be run. However, setting the database and cycleis not a prerequisite for all EIMA procedures. For example, runningReconciled Export (discussed below) does not require the user to selecta database and cycle. The user can tell which document type, database,and cycle is currently selected by viewing the text in brackets (505,510, and 515) that appears after the first three main menu options. Inthe example shown in FIG. 5, the selected document type is Check, thedatabase is TestDB_313, and the cycle is 20010314. The user can changethe document type, database, and cycle by entering text in theappropriate field.

[0189] 2. Server Management

[0190] The user verifies that a server is running by checking if theserver's abbreviation appears in the List of Servers on the ApplicationServer Termination Program menu 600 (FIG. 6). If the server abbreviationappears on the list, then the server is running. If the serverabbreviation does not appear on the list, then the server needs to bestarted.

[0191] To get to the menu of FIG. 6, the user selects the FileManagement & Utilities Menu option 520 (FIG. 5). At the File Management& Utilities Menu 700 (FIG. 7), the user enters the Drop ApplicationServer(s) option 705. This results in the Application Server TerminationProgram Menu 600 being displayed. The Application Server TerminationProgram Menu 600 provides information on the status of each virtualserver. For the embodiment shown in FIG. 6, the Application ServerTermination Program Menu 600 uses abbreviations, which correspond to theservers shown in TABLE 1, and, if the server is listed, then the serveris running. Further, entering the number of a server and then pressingEnter stops that server.

[0192] 3. Image Capture

[0193] a. Overview

[0194] Image Capture should be performed for the desired documentsbefore the user runs Image Match or Image Print. The user can importimages into the EIMA system using the following methods: 1) Scanningdocuments into the archive and then using Image Match to insert imagesinto the database, 2) importing raw file data from disk or tape (rawfile import is used for testing only), 3) importing objects (e.g., TIFFimages), 4) and importing text documents using the Import Server.

[0195] Image Capture transfers the document images and associatedinformation (MICR code) from the scanning device to the host system,reviews each MICR code for correct syntax, stores the images andassociated information in an image database, scans and stores thespecial images used by Image Print, and/or adds a record to the Auditreport that lists the processing statistics. The images and theirassociated MICR data are supplied from the scanning device(s).

[0196] (i) Parameters

[0197] Image Capture requires that the images and associated MICR datafor a specific database/cycle name and image capture parameters. Theparameters that define Image Capture processing requirements are definedin a Default and Override Parameter files. The Default Parameter file isused by Image Capture each time it is executed. It is also used by alldatabases in the environment.

[0198] (ii) Quality Monitor

[0199] During Image Capture, Quality Monitor can display a sample of theimages as they are added to the archive. Quality Monitor displays a newimage according to the user-specified time increments (e.g., seconds).See the discussion for Repair GUI below for more information on usingQuality Monitor.

[0200] (iii) Multiple Scanners

[0201] Multiple scanners are supported by executing separate copies ofImage Capture software concurrently. The concurrently running copies ofImage Capture can be output to separate databases or the same database.Access to a separate Main Menu 500 is required for each software copy ofImage Capture.

[0202] (iv) MICR Errors

[0203] The user corrects any MICR errors detected by Image Capture byusing MICR Repair. The user performs MICR repair any time after ImageCapture is started. After Image Capture and MICR Repair have beencompleted, the user is ready to initiate the Image Match process tovalidate images and associated data against the match control file(MCF). After Image Match is complete, the user can run the Image Printprocess to print images and associated data on customer statements.

[0204] (v) Batch Tickets

[0205] If the user runs Incremental Match, the user can scan a batchticket prior to scanning the corresponding batch of items or type theBatch ID at the Main Menu 500. A batch ticket is a MICR-encoded documentthat contains a four-character ID that uniquely identifies the batch.The batch ID is appended to the Match Control File name when the file isbrought into the system using File Load. In this way, the scanned imagesare matched to the correct MCF.

[0206] b. Image Capture for Systems Using Match

[0207] The user begins Image Capture when he is ready to scan a newbatch of items. If the user uses the Windows version of Quality Monitor,the Quality Monitor program is running on the client. Scanned images arestored in an image database that is identified by a unique combinationof database and cycle name. When the user is ready to capture images,the user can create a new database and cycle for the new set of imagesor can append the images to an existing database. The database and cyclenames may be predetermined by predefined procedures and the name can berelated to a corresponding match control file (MCF).

[0208] In one embodiment, the user performs the following acts tocapture document data and images into a database cycle:

[0209] At the Main Menu 500, the user enters the Capture/Browse ImagesMenu option 525 resulting in the Capture/Browse Images Menu opening.

[0210] In the Capture/Browse Images menu 525, the user enters a CaptureUsing GIA gate option. If the system has more than one scannerinstalled, the user will see a Capture Source Menu to select a scanner.This results in the user connecting to a scanner PC. Typically, thescanner typically comes with a controller PC that communicates with thehost system.

[0211] When the Ethernet connection to the scanner is complete, the usercan then begin scanning documents. The steps for starting a scannervaries based on the scanner type. Two example documents that can bereferred to for operating the scanner are DP500 Administrator's Guidefor Unisys Scanners and NCR 7780 Users Guide for NCR scanners, both ofwhich are published by ImageSoft Technologies of Maitland, Fla. A sampleof the images can be displayed on the Quality Monitor workstation ifthat option is activated. As scanned images are added to the system,Image Capture statistics are displayed in a text window. Thesestatistics include total images stored, image size, total MICR defects,and the scanning rate.

[0212] After completing the scanning of the items, it is preferable thatthe user shuts down Image Capture to prevent database corruption. Toshutdown Image Capture after items have been successfully scanned, atthe scanner controller PC, the user exits the scanner controller programas specified by the scanner when all items have been scanned and thescanner hopper is empty. A message indicating that a successful shutdown occurred should appear at the workstation.

[0213] c. Capture Recovery

[0214] If Capture terminates as a result of an user error or systemproblem such as a server returning an exception, the Capture Recoveryprocess can accurately roll back tables and post information regardingthe last item correctly ingested. The capture recovery process on thehost system is as follows:

[0215] When Capture is interrupted, Capture Recovery displaysinformation about the last item captured successfully (committed to thedatabase). The user should not rely on the scanner's report of the lastitem it captured (scanned) successfully. Rather, the user must use thelast item that Titan reports as successfully captured and ingested.

[0216] Reboot the scanner controller to flush the scanner buffer.

[0217] Reload and scan the items into the scanner that did not getcaptured successfully.

[0218] d. TIFF Image Import Utility

[0219] (i) Overview

[0220] The user can import TIFF images from tape, CD-ROM, a UNIXprocessor or other devices for the purpose of transferring images from amain location to a satellite location or for importing special documenttypes. The TIFF Image Import Utility supports 3480 (square tape),Quarter Inch Cartridge (QIC), CD-ROM, UNIX process, 8 mm tape, DigitalLinear Tape (DLT), Tiff Import using GiaGate (imports directly into thearchive without using Micr Repair/Repair GUI or Image Match), and Importfrom third party applications.

[0221] (ii) Importing Tiff Images

[0222] To import TIFF images, the user performs the following acts tocapture images from tape:

[0223] Initiate two separate Telnet sessions and proceed to the mainmenu in both Telnet sessions.

[0224] Establish the database cycle in both Telnet sessions.

[0225] Choose the Capture/Browse Images Menu 525 (FIG. 5) for the firstsession.

[0226] Choose a Capture using GIA gate option (TIFF Import).

[0227] Choose the Capture/Browse Images Menu 525 (FIG. 5) for the secondsession.

[0228] Choose Capture Using GIA gate.

[0229] Performing the above acts connects the second work session to theTape Import Process running in the first session. It also providesinformation about the number of images sent to the defined databasecycle. When all the images are imported, the host displays informationin the second session screen that includes how many images you added tothe database. It also shows MICR data for the last check images.

[0230] After the process has ended, the host also displays informationin the first session screen that indicates the image count and thenumber of skipped bytes. It is normal for the process to skip bytes. Theuser can validate the success of the import process by selecting BrowseItem Images from the Capture Menu or viewing images in NetQuery.

[0231] e. Overview of Importing Images

[0232] As an alternative to scanning the images directly into the ImageArchive database through the Image Capture program, the user can useImage Import to convert an existing image database to the format used byImage Archive and use the Import server to import the images into thearchive.

[0233] (i) Archive Import API

[0234] Due to the unique aspects of an existing image database, eachclient may need a specialized interface that connects to Archive ImportAPI. The user can also use a Generic Importing Application offered byImageSoft Technologies of Maitland, Fla. The Generic ImportingApplication (GIA) resides over the Archive Import API and acts as asocket server to more easily obtain the images from other platforms.

[0235] A ScanGate II program resides on the host system and is an importapplication that receives images from the network and imports themdirectly into the Archive database using the Archive Import APIapplication. Although ScanGate II can accept images directly from anImage Soft scanner application, its main purpose is to receive imagesfrom another image system where the images have already been validatedand associated with other control information. Images and data that havebeen ingested by ScanGate II are not sent to the ImageSoft MICR Repairsystem.

[0236] (ii) Image Sets

[0237] The existing image database may already have assigned names thatidentify the sets of images, but these names need to be converted to theformat used by the Archive. During Image Import, a database/cycle nameis assigned to each set of images imported from the image database. Forthe EIMA system 100 described herein, the cycle name should be in theformat YYYYMMDD, which typically represents the original processing datefor the set of images. The database name/set name typically representsthe customer or business entity owning the images or if desirable thismay represent the type of image.

[0238] 4. Image Match

[0239] a. Overview of Image Match

[0240] For reconciliation purposes, Image Match is used to verify thatdata in the user-provided match control file (MCF) matches the captureddata in the archive. Image Match also allows the user to view freeitems, move items, and insert missing items into the archive. The MatchMenu also contains an option for clearing the currently selected matchfile. The Match procedure is performed after the user has scanned MICRdata and images and resolved MICR problems, and before images can bequeried and viewed in an image viewing program, such as Net Query(discussed below).

[0241] Image Match also provides ability to add additional search fieldsto each of the image records using Batch Update. Batch Update allows theuser to update the captured data with additional field data that is notpart of the original MICR data. For example, the user's company mayrequire that a microfilm number be added as a search field to all therecords in the captured data. Image Match further provides the abilityto generate match statistics reports.

[0242] For the embodiment described herein, Image Match is required forImage Archiving and Distribution and Statement Generation. The Printserver is used to organize images before statement generation (discussedbelow).

[0243] When documents are scanned, the data from the MICR line iscaptured and then ingested into the image capture index in the archive.When Image Match is run, data in the MCF is compared to the captureddata in the archive. Image Match looks at specific fields in both setsof data, and then attempts to verify if the data matches or does notmatch. Following the Image Match process, a match statistics summarythat details the results of the match session is displayed onscreen.

[0244] Each MCF record preferably contains MICR data, including thefields required for Image Match, group ID and period in statements, anduser fields. Each record in the captured data contains information aboutthe corresponding image including MICR data (made up of the accountnumber, serial number, amount, transaction code, and transit/routingnumber) and the fields required for retrieving the image from thedatabase (e.g., the image location and the size of the image). The MICRdata corresponding to the image may have been changed by a MICR Exitprogram to conform to the data provided in the MCF.

[0245] The Match Control Menu (MC) option 530 of the Main Menu (FIG. 5)is used to access the Match Control menu, which includes a perform matchoption on the Match Menu to initiate match. ScanGate II users do notneed to run Image Match for archiving and distribution.

[0246] b. Types of Match

[0247] For one embodiment, two levels of match are run. One level orboth levels of match can be processed during Image Match. The user setsparameter to determine which fields are used to perform the matchassessment. The actual fields that Image Match uses for dataverification vary depending on the user's operational needs.

[0248] The first level of Image Match is by account field, serial field,and amount field. This type of match attempts to match the two sets ofdata using the account number, serial number, and amount fields; andthen optionally, by the transaction code field and transit routingnumber field. If Image Match is unable to make a match against thesefields, it will try to match the data against the account number fieldand the serial number field, and then, optionally, using the transactioncode field and transit routing number field.

[0249] The second level of Image Match is by account field and amountfield. This type of match attempts to match the two sets of data bycomparing the account number field, and amount field, and then,optionally, by the transaction code and transit routing number fields.This match is used only after the other items in an account have beenmatched by the account number, serial number, and amount fields. Othercriteria of levels for performing a match are possible.

[0250] c. Initiating Image Match

[0251] The Image Match process allows captured data and images to beavailable for query and viewing in the Net Query program. After runningImage Match, missing and free items are generated, and the user cangenerate a Free Items report, a Match Statistics report, a Missing Itemsreport, and an Audit report. In addition, Image Match can performstatement printing.

[0252] During an Image Match session, the user will have an option torun a batch update. Batch Update allows the user to update the captureddata with additional field data that is not part of the original MICRdata.

[0253] When performing a match, the match database and cycle should beselected. Additionally, the user should start (if not already running)the CORBA Name Server, the Set Server, the Bus Administrator Server, theProxy Index Server, the Parameter Server, the Disk Repository Server,the Log Server, and the Repository Proxy Server before performing thematch.

[0254] To run Image Match, the following acts are performed: Open theMatch Menu:

[0255] At the Main Menu 500, the user enters the Match Control Menuoption 530, resulting in a Match Control menu 800 (FIG. 8) opening. Atthe Match Control menu 800, the user navigates the software resulting inthe initiation of the Image Match process.

[0256] The user then selects the Enter Batch ID option 805. A Batch IDlist appears for the user's review. At the Batch ID list, the userselects the batches for the matching procedure. After selecting thebatches, the user is returned to the Match Menu 800.

[0257] At the Match Menu 800, the user selects the Load Match ControlFile(s) option 810, resulting in an MCF File List being displayed. Anexample list 900 is shown in FIG. 9. The user then selects the correctMCF files from the MCF File List 900 corresponding to the batch files.After selecting the MCF files, the user is returned to the Match Menu800.

[0258] At the Match Menu 800, the user selects the Perform Match option815. This results in the Image Match process beginning. Upon completion,a summary of the match results displays and then the free item selectionprompt appears.

[0259] The user can then perform a free item selection. After free itemselection is performed, a directory of the defect items is displayed,and then the Batch Update prompt appears. At the Batch Update prompt,the user can populate the captured data with additional field data. Alist of match summary results is displayed and then the Image Matchprocess is completed and the user returns to the Match Menu 800.

[0260] d. Resetting Match

[0261] The resetting match options clears the temporary match space. Forexample, if user loads the wrong match file, resetting match will clearthe match file, so that the user can load the proper match control file.

[0262] e. Correcting Free and Missing Items

[0263] If any missing or free items are noted in the onscreen matchresults summary, the user can correct these items and then rerun Match.Free items are extra images that have been noted in the capture data,but not in the match control file (MCF). Free items indicate that thereis a discrepancy between the number of items in the capture data and thenumber of items in the MCF.

[0264] Missing items occur when there are records in the MCF with nocorresponding images. There is usually a direct correlation between thenumber of free items and the number of missing items.

[0265] Free items can be the result of scanned items that do not belongin the current database cycle or incorrect MICR data. If a largepercentage of free items appear on the report, there was likely amechanical problem during Image Capture. It is possible that the wrongtray was scanned or not all of the trays were scanned. In this case, theuser runs Image Capture again. If the percentage of free items is small,the discrepancies are probably the result of incorrect or illegible MICRdata. In this case, the user needs to release the images to the MICRRepair workstation for correction. Once the MICR data is repaired, theuser should be able to run Match again without error. To correct theunmatched items, the user performs the following acts in this embodimentof the invention:

[0266] At the Match Menu 800, the user verifies that the selecteddocument type, match set, and batch ID settings are correct. The userthen selects the Free Item Selection option 820. The system flags thefree items for MICR Repair.

[0267] The user then uses the MICR Repair workstation discussed below tocorrect the MICR data for the free items. After completing all thecorrections, the user runs Image Match again.

[0268] If the report still lists Free Items, then the user either usethe MICR Repair Skip command to delete the item if the item is invalid,or corrects the MCF if the item is valid but not found in the MCF.

[0269] If there are still missing items listed in the report, then theuser either scans the item into the data base and then reruns ImageMatch if the item is valid, or corrects the MCF if the item is notvalid. If the user cannot locate the missing item, then the user canassign a surrogate image in its place. If the missing item is locatedlater, the user can scan the item into the database and then rerunMatch.

[0270] After all problems have been corrected, the user selects the FreeItem Group Move option from the MATCH MENU to move the items into thearchive.

[0271] 5. Verify Capture

[0272] a. Overview of Verify Capture

[0273] If the image data is captured ‘clean’ (i.e., defective data hasbeen repaired and the MICR exit has taken place), then after capturetakes place, the index tables are set as matched. If, however, the userwould still like to verify whether all the items that have passed to GIAare actually stored in the archive, then the user can provide a textfile containing a user-defined set of fields to be matched against. Thematch fields can be configured through the parameter service. VerifyCapture matches items in the file with rows in the Index table andprovides reports with results of the match. Verify Capture providesmatch statistics, a list of missing items, a list of free items. Thedifferences between Image Match and Verify Capture include: Image Matchperforms match incrementally, Verify Capture does not, Image Match onlymatches those items that are marked as “unmatched” and Verify Capturematches items that are already marked as “matched,” Image Match updatesa user-specified set of fields from items in the MCF file and VerifyCapture does no updates.

[0274] To perform Verifying Capture, the user navigates from the MainMenu 500 to the Verify Capture option. Upon initiation of VerifyCapture, the MCF file is loaded and matched against the database andcycle. The match results are displayed. The user can then generatecapture reports.

[0275] 6. Text File Batch Query (TFBQ)

[0276] a. Overview of Text File Batch Query (TFBQ)

[0277] To export a selected group of images to media such as a CD-ROM,the user can create a text file that includes query criteria anddestination specifications. This file is called a Text File Batch Query(TFBQ).

[0278] The TFBQ can be created on a PC using any ASCII editor that doesnot embed formatting characters into the file. The file can also becreated on a UNIX system using “vi”, the text editor for Unix systems.Once created the user creates the file, moves or copies the file to adirectory on the host system and then executes the file to locate theimages.

[0279] Each TFBQ includes of one or more queries or jobs. Jobs arewritten using the following guidelines:

[0280] Each job has at least one valid query ID or an actual queryspecified.

[0281] A job can contain pre-existing NetQuery type query ID's to beexported and/or the user can specify actual queries to be submitted toQuery Server and then exported to Export Server.

[0282] Every job has a job name.

[0283] Every job has a customer name.

[0284] Every job has a job type field.

[0285] A job can have multiple destinations denoted with the start/enddestination pair.

[0286] Every destination has a media ID or destination ID.

[0287] A destination has an image format.

[0288] Any fields that are not required can be omitted and will receivea default internal value.

[0289] Comments within the text file can be specified using a commentscharacter (e.g., #) Anything starting with the character and ending witha newline character will be designated as a comment.

[0290] 7. Exporting Images

[0291] a. Overview of Reconciled Export

[0292] Reconciled Export allows the user to export check items andimages that meet a specific criteria to a CD-ROM writer (other method ofdeliveries are possible). Once the job has been exported to the CD-ROMwriter, the user can create CD-ROMs that contain the query results ofthe TFBQ. The CD-ROM's can then be distributed for viewing with an ImageLibrary Offline program. An example Image Library Offline program isoffered by ImageSoft Technologies of Maitland Florida. The scope ofitems that are exported to the CD-ROM writer is determined by the ExportJob's query criteria. A text file batch query is used to specify eachexport job's query definition and destination specifications.

[0293] Prior to running Reconciled Export, the user should verify thatthe export job's query and export destination parameters are defined inthe TFBQ, the export job's TFBQ and corresponding match control file(MCF) are placed in the correct directory, the export job's parametersare set in the job control file (JCF) and then placed in the correctdirectory, and the Export server is running.

[0294] During Reconciled Export, the user reviews the Job List reportthat is updated after the user starts the export process. The Job Listreport shows if any missing items have been found for a particularexport job. If missing items have been detected, the user should correctthese items and then rerun Image Match. A Missing Item report can begenerated from the Export Reconciliation Menu. After a successfulexport, the export job is released to the CD-ROM writer for CD-ROMproduction.

[0295] b. Overview of the Job Control File

[0296] The Job Control File contains the parameters that are used toprocess an export job in Reconciled Export. These parameters define theexport job's name and the directory locations of the files that containthe query specifications, and the MCF and report data. A job controlfile can contain multiple export jobs. Before running Reconciled Export,the job control file parameters should be set. The job control fileparameters include JOB_NAME, TFBQ_FILE, and MCF_FILE parameters, whichare typically required; and REPORT parameters, which is optional. TheJOB_NAME parameter designates the name of the export job, which isgenerated before and after Reconciled Export. The TFBQ_FILE points tothe location of the text file batch query (TFBQ) file in EIMA system.The TFBQ file contains the export job's query criteria and thedestination specifications. The MCF_FILE points to the directorylocation of the match control file (MCF). During Reconciled Export, datain the MCF is compared to the captured data in the archive. The MCFcontains the MICR data, the Group ID, and period in statements, and thequery fields. The REPORT parameters point to the location of an optionalreport file.

[0297] c. Overview of the Job List Report

[0298] The Job List report is generated and updated during theReconciled Export process to help the user track the progress of theuser's export jobs. The Job List report shows the before and afterstatus of the export jobs. Before items are exported, the Job Listreport lists the number of items that will be exported to the CD-ROMwriter, and if any missing items were detected. After items have beenexported to the CD-ROM writer, the Job List report shows the ID that wasassigned to each export job.

[0299] The Job List report provides the batch that contains the itemsand images that will be exported to the CD-ROM writer based on the querycriteria in the text file batch query (TFBQ), the Name of the job asspecified in the job control file, the number of items that met theTFBQ's criteria and the number of items that will be exported to theCD-ROM writer, the number of items in the batch but missing from theMCF, and the number assigned to the export job. This number assigned tothe export job can be used to track the progress of the export job. Ifthe user uses the Job Manager or Resource Manager program, the sameexport ID number that appears in the Job List report is shown in both ofthese programs.

[0300] d. Running Reconciled Export

[0301] The Reconciled Export process enables the user to export imagesto a CD-ROM writer by loading the job control file that contains thequery specifications. If missing items are detected, the user has theoption of viewing a Missing Item Report.

[0302] To export images to a CD-ROM, the user performs the followingacts:

[0303] At the Main Menu 500, the user selects the Reconciled Exportoption, resulting the Reconciled Export Menu.

[0304] At the Reconciled Export Menu, the user selects the file he wantsto export. A message appears asking if the user wants to run ReconciledExport on this file. If the user answers positively, the user sees aseries of messages indicating progress.

[0305] Upon completion, an option is given whether the user wants toview the Missing Items Report. If the user answers positively, the userviews the Statistics Report.

[0306] After viewing the Statistics Report, the user can export theimages to CD. If the user answers affirmative, the images are submittedto CD and a job id number is displayed. To track the status of existingexport jobs in the EIMA system, the Job Manager program can be used totroubleshoot, customize, control, and monitor jobs by export ID number.The Resource Manager program is also available for creating new mediadestinations.

[0307] 8. File Management

[0308] a. Deleting a Cycle

[0309] The user can delete a database cycle from the followinglocations: TABLE 3 SERVICE DESCRIPTION RAID Selecting this optiondeletes the database cycle from the RAID repository repository. IDXSelecting this option deletes the database cycle from the service modulethat keeps track of item descriptors or query tables. Set serviceSelecting this option deletes the database cycle from the module thattracks database and cycle names

[0310] To delete a database cycle from one or all of the followinglocations, the user performs the following acts:

[0311] At the Main Menu 500, the user selects the File Management &Utilities Menu option 520.

[0312] At the File Management & Utilities Menu 700, the user selects theDelete Cycle Menu option 710. The Delete Cycle Menu 1000 opens as shownin FIG. 10.

[0313] The user then enters the number of the repository or service thatthe user wants the cycle to be deleted from. The cycle is deleted fromthe selected location and the Delete Cycle Menu 1000 changes to reflectthe remaining locations where the cycle still exists.

[0314] b. Deleting a Database

[0315] Deleting a database permanently removes the database from thearchive. Before the user deletes a database, the user should delete allcycles within the database.

[0316] The user performs the following acts to delete a database:

[0317] At the Main Menu 500, the user selects the File Management &Utilities Menu option 520.

[0318] The user then selects the Delete Database option 715. The usercan then select a database to delete. That database is deleted from thearchive.

[0319] c. Migrating from RAID to Optical

[0320] Migrating from RAID to optical allows the user to move a copy ofthe document data and image files in a particular database cycle fromdisk (RAID) to an optical device. The migration process enables the userto free up disk space. After the user has successfully migrated thefiles from disk to optical, the user can delete the database files fromdisk. The Optical Repository server and the Optical Robotic server needto be running. To migrate images from RAID to Optical, the user performsthe following acts:

[0321] At the Main Menu 500, the user checks that the correct databaseand cycle that he wants to migrate to RAID are selected. The user thenselects the File Management & Utilities Menu 520 option.

[0322] At the File Management & Utilities Menu 700, the user selects theStart Migration option. The user then chooses the source (e.g., RAIDrepository) and the destination. Once the source and destination areselected, the migration is performed.

[0323] d. Restoring from Tape

[0324] The Restore procedure for multi-file backup is the same as thestandard restore procedure except that now the system keeps track ofcycles that the user has backed up and their corresponding tape VolumeIDs. The system will request that the user mount the specific tapeVolume ID for the cycle he has selected to restore.

[0325] 9. Image Print

[0326] a. Overview of Print Server

[0327] The purpose of the Print Server is to allow the user to retrievea subset of images from a database cycle for statement printing. Forexample, the user can have a database that contains all items for anentire month, or the user may want to pull out items for customers whorequire statement print. The user uses a match control file to match upthe items that he wants to print. The user can then run statement printfor the clients that require it.

[0328] The print server retrieves the objects directly from the archivedatabase. Any objects received and placed into a new cycle are in aformat that is immediately viewable by NetQuery. In addition, the PrintServer allows the user to export print images to a remote server forprinting purposes instead of on the main host system.

[0329] b. Retrieving Images Using the Print Server

[0330] The following steps refer to two different servers: a main serverand a receiving server. To retrieve images using the Print Server, theuser performs the following acts:

[0331] At the Main Menu 500, the user selects the File Management &Utilities Menu 520 and starts the GIA Server if it is not alreadyrunning.

[0332] From the Main Menu 500, the user selects the Database containingthe source images and one of the cycles containing images.

[0333] From the Main Menu 500, select the Print Server option 535. ThePrint Server Menu appears.

[0334] The Source Set Dates identify the range of processing dates todetermine whether to retrieve an image for printing. If Source Set Datesare incorrect, the user changes the range.

[0335] The user sets the destination set name that corresponds to thedatabase name. This name should be typed as it exists on the destinationserver or the execute print function will fail.

[0336] The user sets the destination cycle date. The user should havealready created a cycle with this date on the destination server.

[0337] If the user wants to change the print export to a remote machine,then the user types the name of the remote machine. The user is thenprompted to enter the name of the port on the host.

[0338] The user selects the MCF for MCF File Specification. The systemprovides a list of all existing Match IDs. The user selects one or allof the available Match IDs.

[0339] The user then selects the Execute option. Messages appearindicating the success of the process. Messages are posted to a logreport as well. The user can use NetQuery to confirm that the imagesreached the cycle successfully. If the user runs this process again froma second range of cycles, the additional images will be added to theimages already present in that cycle.

[0340] C. Overview of Image Print

[0341] Image Print produces account statements with both text and imagesin some embodiments of the invention. Image Print retrieves images thatare predetermined by Image Match from the image database, processesthem, blocks them on a page, and formats them for a particular laserprinter with the appropriate header information. It then merges theimages with statement text data in an output data stream to a designatedprinter and/or tape drive.

[0342] (i) Surrogates

[0343] If the user has defined surrogate images, they will be printed inplace of any missing items during the Image Print process. Parametersfor surrogate images may be defined using the Parameter Menu.

[0344] During the Image Print process, communications software controlsthe actual transmission of documents to the output device. The abilityto format customer statements for output to a laser printer, and mergethe statement text with the blocked images, is an important Image Printfeature.

[0345] (ii) Different Statement Formats by Database

[0346] If the user wants to modify the format of statements by groups ofaccount numbers, the user must place all image statements for a set ofaccounts in a single database and use the Parameter Menu to modify theformat parameters. In addition, Image Print parameters provides the userwith several options for increasing efficiency and controllingpresentation of the final output.

[0347] Types of parameters the user can change by database include:

[0348] (a) Page Formatting

[0349] Arranges text information on statement and image pages. Forimages, the user can specify page size and margins, page numbering,duplex support, image placement, and image bordering. For text data, theuser can specify font, print position, and include text lines on imagepages. The user can add text such as serial number and amount on orunder the images.

[0350] (b) Account Separator Images

[0351] The user can use Account Separator Images to separate multipleaccounts associated with the same customer for consolidated printedstatements. This is necessary when a customer (single customer number)has several accounts. The user can create up to 99 different lineseparators by using the Image Match line parameter. The line separatorcan be a simple as a horizontal line or it can be more elaborate.

[0352] (c) Statement Splitting

[0353] Splitting statement printing into batches is a very useful andtimesaving function of Image Print. This function enables the user tospecify how Image Print processes statement information for maximumefficiency.

[0354] (d) Good/Bad Split

[0355] Statements identified as having exceeded a user-specified ratioof missing or bad images can be processed into a separate file forfurther processing while good statements continue through the printingprocess unhampered. For example, the user can specify that eachstatement missing more than three individual images and/or more than 10percent of total images is bad.

[0356] Good/bad splitting is executed from the Print Control Menu and iscontrolled by parameters specified in the default and/or overrideparameter file. If the specifications designated by the parameters areexceeded, the statements are processed as bad.

[0357] The user may find it beneficial to use the Good/Bad Splitfunction even if he does not require the statements to be split. ThisSplit function performs many of the same processes as Print, but in afraction of the time. This provides a way to review for errors beforerunning Print.

[0358] (e) Volume Split

[0359] Statements can be sorted into different print files according totheir size (volume) as defined by the user in the parameters file. Thisenables the user to use printing and processing hardware in a moreefficient manner. The user can direct large volume files, grouped forexample by zip code, to special handling equipment or configureequipment in the fashion which best suits each type of printing session.

[0360] (f) Defining Output Segments

[0361] The document sets that are produced by Image Print can be groupedinto output segments, so that one segment can be completed and beginprinting while later document sets within the same job are still beingformatted.

[0362] (g) Defining the Target Printer

[0363] Statements can be formatted for a variety of Xerox, IBM, andHP-PCL compatible printers. The target printer may have specialparameter requirements.

[0364] Before running Image Print, the following conditions shouldexist:

[0365] Image Print parameters should be defined—Image Print parametersprovide information for page formatting, headings, printer channelassignments, splitting routines, etc. As many sets of parameters can bemaintained as are required to meet different processing requirements.For example, a banking institution may require one set of parameters forprinting account statements and another for money market accounts.During the initial installation period, a trial and error approach toadjusting parameter specifications may be necessary in order to finetune the statements' final presentation.

[0366] All required images should be present in the image database—ImageMatch should have successfully run. All images which are referenced bythe Match Control File (MCF) should have been added to the imagedatabase by Image Capture. The images remain in the same format in whichthey were received from the scanner in some embodiments of theinvention.

[0367] The Print Control File should be loaded and ready forprocessing—For standard Image Print runs, the Print Control File (PCF)is built by the institution's account processing procedures. The PCFcontains the body of the standard statement text and determines theaccounts to be printed and their sequence.

[0368] Image Match processing for the proposed run should becomplete—The Image Match process uses information contained in theuser-produced Match Control File (MCF). The MCF is generated by theinstitution's account processing system and this information is thenused for Image Print.

[0369] d. Printing Directly to HP or IBM Printers

[0370] Before printing statements, the user defines the print parameters(e.g., identifies page formatting, headings, etc.), defines the loadparameters (e.g., identifies where the files are located, PCF exitprogram to use, etc.), and defines Capture, Match, and ArchiveParameters. The Capture, Match, and Archive parameters determine scalingof images, levels of matching, etc. Additionally, the user obtains aMatch Control File (MCF), obtains a Print Control File (PCF), andretrieves image objects from different cycles. To print directly to HPor IBM printers, the user performs the following acts:

[0371] From the Main Menu 500, the user checks the Database/Cycle name.

[0372] Assuming the Database/Cycle name is correct, the user selects theFile Load Menu. At the File Load Menu, the user loads the current fileload parameters.

[0373] The user then selects an input media (e.g., tape, disk, etc.) TheCurrent File Load Media toggles to the media type.

[0374] If the input device is tape, then the user loads the tapecontaining the file; and when the tape drive indicates it is “online,”the user types the input filename. While the file is loading, statusmessages display indicating if the file was found and if it was loadedsuccessfully.

[0375] If the input device is Disk, the user enters the filename.

[0376] When the file is loaded, the user can run Image Match asdiscussed earlier to verify accuracy of the MCF.

[0377] After running Image Match, the user loads the Print Control File(PCF). The acts to load the PCF can be similar to the MCF.

[0378] From the Main Menu, the user selects the Print Control Menu. Theuser can run the “Good/Bad Split.” To do this, the user starts the ImagePrint process for the good items while researching any Missing Items.After correcting the missing items, the user runs Image Match again andprints the remaining “bad” image statements still marked as “bad” by thesystem. If the user runs Good/Bad split, the user is prompted whether toprint all statements, only good statements, or only “bad” statements.

[0379] The user should type the letter of choice and press Enter.Statements are printed either to tape or to a specified printerdepending on the configuration of the system. While Image Print isrunning, a processing status message displays on the system console thatindicates the number of statements processed. When the Image Printprocess is complete, messages and processing statistics display on thesystem console. Press Enter to return to the Print Control Menu.

[0380] e. Printing to Tape

[0381] In addition to printing directly to HP or IBM Printers, the usercan print to tape. The user first obtains the image objects, MCF and PCFas discussed in the previous section. The user then loads a blank tapeinto the tape drive. Typically, a minimum of two blank tapes, one forthe index and one for the data is required. After loading the tape theuser “prints” the information to the tape. When this process iscomplete, the user takes the data tape to the printer that the user usesfor printing the statements. The user loads the tape into the printcontroller's tape drive. The user can then print the statements.

[0382] f. Direct Printing to Xerox HPIP

[0383] An HPIP server processes the print stream in a manner thatreplicates data as if it came from a tape. The EIMA includes an HPIPboard and HPIP software in a workstation allowing the user to printdirectly to the printer at a faster speed. The user first obtains theimage objects MCF and PCF as discussed earlier.

[0384] The user then performs the following acts to directly print tothe HPIP as follows:

[0385] On the printer console, the user determines if the SDI (SharedDisk Interface) is already started. If it is not started, then the userstarts it.

[0386] On the HPIP server, the user stops and starts the spooler as isknown in the art.

[0387] Also at the HPIP server, the user starts the Print Manager byeither clicking the printer icon in the lower-right of the screen orclicking on Control Panel and then clicking on Printers. The Xerox jobwindow should open with an area to display the spooled jobs as theyoccur.

[0388] At the Main Menu 500, the user confirms that the database andcycle are set correctly. The user then selects the Print Control Menuoption and initiates printing. The files are then sent to the PrintManager on the PC, and, then, the PC sends the files to the Xeroxconsole and statements are printed.

[0389] g. Generating a PCF

[0390] Using the Print Control File options in the Support Menu, theuser can customize bank information and control printing of separatorpages. The user performs the following acts to generate a PCF from theEIMA system 100 instead of loading a specific PCF from another system:

[0391] From the Main Menu 150, the user selects the Support Menu option.In the Support Menu, the user selects the option for creating a PrintControl File (PCF). The user can use standard separator pages. Inaddition, the user can create or change back information for thestatements. The result is a PCF for printing statements. If the userwishes to print images statements via network transmission, this can bedone via the Image Export Menu using a TCP/IP connection and BLASTsoftware or using other suitable connections and software.

[0392] h. Miscellaneous Topics Relating to Printing

[0393] If the print jobs are large and taking up too much space on thehard drive of the workstations, the user may want to divide the jobsinto segments.

[0394] Occasionally, individual statements may be damaged or lost afterthey have been distributed to customers. After processing images, somecustomers delete the images from the database. Deleting the images makesit impossible to recreate the run or perform restarts to reprint lost ordamaged statements. Implementing an archiving procedure allows the userto access copies of the text and images required for statementreprinting.

[0395] Image Print provides a reprint utility that can be used toreprint statements which is archived to tape at the end of each ImagePrint run. Each run also creates an index that is saved to tape or diskdepending on the selection in the parameters. The archive records aresimilar to the records written to the statement output file, except thateach statement is preceded by a header record simplifying the statementidentification.

[0396] The reprint capability enables the user to print a singlestatement or a range of statements from an index tape. To reprintstatements, the user can reprint to a tape first and then print, or canreprint directly to the printer.

[0397] To reprint, the user performs the following steps:

[0398] From the Main Menu 500, the user makes sure the database andcycle names are correct. The user then selects the Print Control Menuoption.

[0399] The user then selects the reprint option. A UNIX text editor, vi,is loaded with the reprint request selection file. Other editors can beused as well.

[0400] The user then specifies the statements to be reprinted. Statementrecords must be referenced by a customer number. The user can enter asmany lines in the request file as are necessary. Customer numbers shouldbe entered in exactly the same format as in the original MCF. The usercan print by customer number, print by logical ranges of customernumbers, or print a range of statements based on where they physicallyfall on the media.

[0401] The user then saves the file and is prompted to run Reprint.Assuming the user provides an affirmative response, the user enters adatabase and cycle name, and is prompted to load the index file or tape.As Reprint processes the request, the user is prompted for input tapenumbers as produced by the print program. If the user is reprinting totape, as each output tape is created, the user is prompted to switch thecurrent tape with a scratch tape. After writing a scratch tape, the useris prompted to replace the input tape. If the user is reprintingdirectly to the printer, the user does not receive prompts for tapes.The output is sent to the printer.

[0402] 10. Reports

[0403] a. Overview of Reports

[0404] To get information about specific activities in the EIMA system,there are several types of reports the user can run. Reports can beviewed onscreen or printed. The system uses a report browser in someembodiments. TABLE 4 below, provides a description of these reports.TABLE 4 TYPE OF REPORT DESCRIPTION Audit Reports Audit reports providelogs of user activity and usage, including capture data and queryactivity, in the EIMA system. Audit reports can be filtered by aparticular service. Each record in an Audit report is preceded by an A.Log Reports Log reports show informational error and warning messagesthat have been generated by EIMA services. Log reports can be filteredby a particular service. In log reports, the following characters appearbefore each log TYPE OF REPORT DESCRIPTION record to indicate the typeof log message: I - Indicates that the log message is informational. W -Indicates that the log record contains a warning. E - Indicates that thelog record contains an error message. Match Statistics Report Matchstatistic reports contain the following information about a particularImage Match session: The total number of processed images andstatements; the total number of MCF records read, matched and notmatched; and the total number of records written. Free Items Report Freeitem reports list the images in a particular batch that have not beenrequested by the MCF. The report data is sorted by time of capture.Missing Items Report Missing item reports show items that are present inthe MCF but that do not have corresponding images in the database. Thetotal number of unmatched records appears at the end of the report.Cycle Location Report Cycle location reports list the repositorylocation of cycles in a particular database. Optical Jukebox Opticaljukebox occupancy reports display information about Occupancy Report theoptical jukebox's platters, slot and volume numbers, side, andavailability. Tape Repository Reports Tape repository reports containinformation about cycles that have been migrated to tape; how much spaceis available on a specific tape volume; and the current status of tapedevices.

[0405] b. Overview of Audit Reports

[0406] Audit reports allow the user to find out information about userand system activity by a particular service. The example shown in FIG.11 shows a sample Audit Report 1100 that has been imported into an Excelspreadsheet.

[0407] With reference to FIG. 11, the type of report column 1105contains the alpha code that indicates the report type. In this example,an A indicates that the record contains an audit-related message. Thedate column 1110 shows the date and time that the message was generatedby the service. The source column 1115 lists the service that generatedthe message.

[0408] In Audit reports, the message column 1120 contains several fieldsof data, and a comma parates each field. The fields in the Messagecolumn vary depending on the service that generated the message and theactivity that was logged. The six fields in TABLE 5, are found in mostAudit report records. TABLE 5 FIELD #/ POSITION FIELD DESCRIPTION 1<hostname> The UNIX host server generating the log. 2 <processname> Thesystem process that was performed. Examples of system processes areAccess Factory, Set Utils, Migration Menu, and GIA-Session. 3 <procpid>The process ID of the logging program. 4 <date> The date that theprocess occurred. 5 <time> The time that the process occurred. 6<logtype> The type of log entry. A log entry describes the process thatoccurred.

[0409] To generate an Audit Report, the user performs the followingacts:

[0410] From the Main Menu 500, the user selects the Report Menu option540 thereby opening the Report Menu.

[0411] At the Report Menu, the user selects the option for preparing anAudit Report. The user then views the report in the Report Browser.

[0412] c. Filtered Audit Report

[0413] The Filtered Audit report allows the user to get informationabout user and system activity by a particular service or services. Theuser is able to select which services' messages are included in thereport. Information in the Audit report, of one embodiment, is listed bydate, message source, and message.

[0414] To generate a filtered Audit Report, the user performs thefollowing acts:

[0415] At the Main Menu 500, the user selects the Report Menu option540.

[0416] At the Report Menu, the user selects the option for a FilteredAudit Report.

[0417] A “Date range? (y/n)” prompt appears. At the “Date range? (y/n)”prompt, the user types y if he wants to specify that only data from aspecific date range is included in the report. The user can specify thatonly data from a specific time period is shown in the Filtered Auditreport. To limit the report data to a date range, the user types y andthen presses Enter at the “Date range? (y/n)” prompt. At start and enddate prompts, the user enters the start and end dates.

[0418] A Select Services Menu 1200 then appears (FIG. 12). The SelectServices Menu 1200 lists the services that the user can get specificaudit information on in the report. The user selects the desiredservice. Multiple services can be selected. After finishing selections,the user selects the done option. The filtered Audit Report thendisplays in the Report Browser.

[0419] d. Overview of Log Reports

[0420] Log reports contain informational, error, and warning messagesthat have been generated by specific EIMA system services. In oneembodiment, log report records are designated with the following alphacodes: I—Indicates that the message is informational; E—Indicates anerror message; W—Indicates a warning message. These alpha codes appearat the beginning of each record in a log report. The Message field in aLog report record contains the actual message that the servicegenerated.

[0421] The Log report lists informational messages that have been issuedby services in the EIMA system 100. Log report data is organized bydate, the service that generated the message, and the log message.

[0422] To generate a Log report, the user performs the following acts:

[0423] From the Main Menu 500, the user selects Report Menu 540.

[0424] At the Report Menu, the user selects the option for generating aLog Report.

[0425] e. Filtered Log Report

[0426] The Filtered Log report lists informational messages that havebeen issued by a particular service or services in the EIMA system 100.The user is able to select which services' messages are included in thereport. Filtered Log report data is organized by date, the service thatgenerated the message, and the log message.

[0427] To generate a Filtered Log report, the user performs thefollowing acts:

[0428] From the Main Menu 500, the user selects Report Menu option 540.

[0429] At the Report Menu, the user selects the options for a FilteredLog Report.

[0430] At a “Date range? (y/n)” prompt, the user types y if he wants tospecify that only data from a specific date range is included in thereport. At the start and end date prompts, the user enters the start andend dates in a year-month-date format. For example, if the user wouldlike to see audit data for Jan. 1, 2001 through Jan. 3, 2001, he wouldenter 20010101 as the start date and 20010103 as the end date.

[0431] The Select Services Menu 1200 then appears. The Select ServicesMenu 1200 was discussed above. The user selects the desired service.Multiple services can be selected. After finishing selections, the userselects the done option. The Filtered Audit Report then displays in theReport Browser.

[0432] f. Warnings and Errors Log Report

[0433] The Warnings and Errors Log Report lists error and warningmessages that have been issued by various services in the EIMA system100. Each record in the Warnings and Errors Log Report contains an entryfor the date, the service that generated the message, and the actualwarning or error message.

[0434] To generate a Warnings and Errors Log Report, the user performsthe following acts:

[0435] From the Main Menu 500, the user selects the Report Menu option540.

[0436] At the Report Menu, the user selects the option for generating aWarnings and Errors Log Report. The Error/Warning report displays in theReport Browser and the total number of records in the report isdisplayed above the report.

[0437] g. Filtered Warnings and Errors Log Report

[0438] The Filtered Warnings and Errors Log report lists error andwarning messages that have been issued by a particular service orservices in the EIMA system 100. The user is able to select whichservices' messages are included in the report. Each record in theWarnings and Errors Log report contains an entry for the date, theservice that generated the message, and the actual warning or errormessage.

[0439] To generate a Filtered Warnings and Errors Log report, the userperforms the following acts:

[0440] From the Main Menu 500, the user selects Report Menu option 540.

[0441] At the Report Menu, the user selects the options for a FilteredWarning and Errors Log Report.

[0442] A “Date range? (y/n)” prompt appears. At the “Date range? (y/n)”prompt, the user types y if he wants to specify that only data from aspecific date range is included in the report. The user can specify thatonly data from a specific time period is shown in your Filtered Logreport. At the start and end date prompts, the user enters the start andend dates.

[0443] The Select Services Menu 1200 then appears. The Select ServicesMenu 1200 was discussed above.

[0444] The user then selects the desired services. Multiple services canbe selected. After finalizing selections, the user selects the doneoption. The Filtered Warnings and Errors Log Report then displays in theReport Browser.

[0445] h. Understanding the Message Data in an Audit Report

[0446] Records in an Audit report can contain a variety of log typevalues. The log type value indicates the activity that a servicerecorded. The log type value is listed as a Message field in Auditreport records. TABLE 6, below, lists the log type values that canappear in Audit and Log reports. TABLE 6 VALUE INDICATES THE FOLLOWINGLOG TYPE VALUE ACTIVITY OCCURRED: LOGIN A user logged on to NetQuery.LOGOUT A user logged out of NetQuery. CAPTURE Items were captured from ascanner. GIA_SESSION An import session using the GIA server. QUERYGenerates one entry for each query item. DISPOSITION Viewing, faxing, orprinting in NetQuery. TEXT_BATCH_QRY A text file batch query wasgenerated. MIGRATION Migration of images to storage media devices.VERIFICATION Verification of image migration. DELETION Cycles weredeleted. SET_PASSWORD A password was changed. ADD_USER_GROUP A user wasassigned to a group in the System Admin program. ADD_GROUP_CAP Acapability was assigned in the System Admin program. DELETE_GROUP_CAP Acapability was deleted in the System Admin program. CREATE_USER A newuser ID was created in the System Admin program. DELETE_USER A user IDwas deleted in the System Admin program. CREATE_GROUP A new group wascreated in the System Admin program. DELETE_USER_GROUP A group wasdeleted from a user in the System Admin program. STORE_DOCUMENT Textdocuments stored in archive. STORE_STATEMENT Account statements storedin archive. DISTRIBUTE Query results distributed to media usingReconciled Export. EXPORT Export images to media using ReconciledExport.

[0447] i. Log Type Value Processes

[0448] In an Audit report, the fields following a log type value willvary depending on what log value is listed. To help understand theinformation in the Message column of a paticular Audit report record,the following topics contain descriptions of the fields that follow aspecific log type value. These topics are organized by the type ofprocess associated with a particular log type value: Login/Logout,Capture Value, GIA_Session Value, NetQuery Log Type Values, MigrationLog Values, Set_Password Value, System Admin Values, Store Values,Export Values, Distribute Log Type Values, Text_Batch Value.

[0449] (i) Fields Following a Login or Logout Log Type Value

[0450] TABLE 7, below, provides a description of the fields that followthe Login or Logout log type value in an Audit report record. Thesefields appear after the log type value in the Message column. Fieldvalues are delimited by commas. TABLE 7 FIELD # FIELD DESCRIPTION  4<Date> The Date the Login or Logout occurred  5 <Time> The Time theLogin or Logout occurred  6 <Log type> LOGIN and LOGOUT  7 <Wrkst IP>The workstation IP address  8 <Login ID> The LOGIN ID of the user whologged in or out of the NetQuery or Image Library Offline program  9-146 empty fields 15 <Duration> Length of time in seconds the user wasconnected. This field applies to items with LOGOUT as the Log type.16-19 4 empty fields 20 <Outcome> SUCCEED or FAIL

[0451] (ii) Fields Following a Capture Log Type Value

[0452] TABLE 8, below, provides a description of the fields that followthe Capture log type value in an Audit report record. These fieldsappear after the log type value in the Message column. Field values aredelimited by commas. TABLE 8 FIELD # FIELD DESCRIPTION  6 <Log type>CAPTURE  7 <IP address> Workstation IP address used to issue the command 8 <Login ID> The name of the user who opened the Capture session on theUNIX host system  9-11 3 empty fields 12 <# Images> Number of imagescaptured from scanner 13 <# bytes> Number of bytes received 14-18 5empty fields 19 <Destination> The database name used for the capture 20<cycle> Cycle receiving the capture images and data

[0453] (a) Fields Following a GIA_Session Log Type Value

[0454] TABLE 9, below, provides a description of the fields that followthe GIA_SESSION log type value in an Audit report record. These fieldsappear after the log type value in the Message column. Field values aredelimited by cornmas. TABLE 9 FIELD # FIELD DESCRIPTION 6 <Log type>GIA_SESSION 7 <Session Status> SESSION FAILURE, SESSION CLOSE FAILED,REGULAR FILE GENERATION FAILED, or SESSION COMPLETED 8 <set name>Database name receiving the images 9 <Set date> Cycle receiving theimages 10 <class name> Indicates the type of images, for example, checks11 <# of items> # of items imported. 1 item may represent 2 images iffronts and backs are imported 12 <# bytes> # of bytes imported 13 <#failed> # of items for which insertion failed 14 <additional status>empty field or “INSERTS DISABLED 15-20 Empty fields

[0455] (iii) Fields Following NetQuery Log Type Values

[0456] TABLE 10, below, provides a description of the fields that followa Query log type value in an Audit report record. These fields appearafter the log type value in the Message column. Field values aredelimited by commas. TABLE 10 FIELD# FIELD DESCRIPTION  6 <Log type>QUERY  7 <Workstn IP> If the system uses fixed IP addresses rather thanrecycling available IP addresses as needed, the user can use this fieldto identify the workstation that generated the query.  8 <Login ID> TheLogin ID of the user who generated the query.  9-10 2 empty fields 11<Qryfile> The query name as posted from Image Library. Typically thedate and time of the query. 12 <# images> The number of images thatresulted from the query. Note: The total number of images is providedeven if the user stops the query before completion. 13-20 8 empty fields

[0457] TABLE 11, below, provides a description of the fields that followa Query log type value in an Audit report record. These fields appearafter the log type value in the Message column. Field values aredelimited by commas. The DISPOSITION log type value indicates queryactivity based on each item that is tagged and retrieved individuallyfor display. TABLE 11 FIELD# FIELD DESCRIPTION  6 <Log type> DISPOSITION 7 <IP Address> IP address of the Image Library workstation  8 <LoginID> The Login ID of the user who generated the query  9-17 9 emptyfields 18 <itemsize> Size of items sent from the query server to theNetQuery workstation 19 <Media type> UNKNOWN, DISK, OPTICAL, TAPE 20<Destination> The destination used for query results at a NetQueryworkstation is typically DISPLAY

[0458] (iv) Fields Following Migration Log Type Values

[0459] TABLE 12, below, provides a description of the fields that followthe MIGRATION log type value in an Audit report record. Migration fieldvalues indicate that items have been migrated to a storage device. Thesefields appear after the log type value in the Message column. Fieldvalues are delimited by commas. TABLE 12 FIELD# FIELD DESCRIPTION  6<log type> MIGRATION  7 <IP Address> IP address of the workstationissuing the command  8 <Login ID> User who is performing the migrationcommands  9-10 2 empty fields 11 <#Images> The number of images migrated12 <Type> This is set to “mig 13 <# bytes> Number of bytes migrated14-18 5 empty fields 19 <source Source media of images: 1=DASD;2=optical; media> 3=tape 20 <Destination Destination media of images:1=DASD; media> 2=optical; 3=tape 21 <set name> Name of the set migrated22 <set date> Name of the cycle migrated

[0460] The following fields indicate that verification of migration wasperformed. Please note that there are two verification log entries: oneis used for the number of images verified and the other is used forverification error count. The only difference between the two is the useof the #Images field. TABLE 13 FIELD# FIELD DESCRIPTION  6 <log type>VERIFICATION  7 <IP Address> Workstation IP address used to issue thecommand  8 <Login ID> User ID that issued the command  9-10 2 emptyfields 11 <#Images> The number of images verified or number in error 12<Type of The first verification entry is set to “ver and verification>reports the # of images verified successfully, the second line is set to“err and reports the # of images with errors 13-14 2 empty fields 15<verify %> Percent of migration verified 16-18 3 empty fields 19 <sourceSource media of images: 1=DASD; 2=optical; media> 3=tape 20 <DestinationDestination media of images: 1=DASD; media> 2=optical; 3=tape 21 <setname> Name of the set verified 22 <set date> Name of the cycle verified

[0461] The DELETION log type value, below, indicates that a cycle hasbeen deleted after migration and migration verification. TABLE 14 FIELD#FIELD DESCRIPTION  6 <log type> DELETION  7 <IP Address> Workstation IPaddress used to issue the command  8 <Login ID> The User that issued thecommand  9-18 10 empty fields 19 <source Source media of images: 1=DASD;2=optical; media> 3=tape 20 empty field 21 <set name> Name of the setdeleted 22 <set date> Name of the cycle deleted

[0462] (v) Fields Following a Set_Password Log Type Value

[0463] TABLE 15, below, provides a description of the fields that followthe SET_PASSWORD log type value in an Audit report record. TheSET_PASSWORD value indicates that a login password change occurred.These fields appear after the log type value in the Message column.Field values are delimited by commas. TABLE 15 FIELD# FIELD DESCRIPTION6 <Log type> SET_PASSWORD 7 <IP Address> Shows if the password changewas generated from the System Administration application; shows thepassword change command comes from NetQuery; shows the IP address of theUNIX server managing the query server. 8 <Login ID> User ID that issuedthe command to change password 9 <User ID> If a system administrator ischanging someone else's ID, this field shows the User ID that received anew password. If this field is blank, this field shows that the Login IDin field 8 changed their own password.

[0464] (vi) Fields Following System Admin Log Type Values

[0465] TABLE 16, below, provides a description of the fields that followthe ADD_USER_GROUP log type value in an Audit report record. Thesefields appear after the log type value in the Message column. Fieldvalues are delimited by commas. TABLE 16 FIELD# FIELD DESCRIPTION 6 <Logtype> ADD_USER_GROUP 7 <IP Address> Workstation IP address used to issuethe command. 8 <Login ID> User ID that issued the command 9 <User ID>The UserID that received a new group assignment 10 <Group The Group thatthis User ID has been assigned. Name>

[0466] TABLE 17, below, provides a description of the fields that followthe DELETE_USER_GROUP log type value. TABLE 17 FIELD# FIELD DESCRIPTION6 <Log type> DELETE_USER_GROUP 7 <IP Address> Workstation IP addressused to issue the command. 8 <Login ID> User ID that issued the command9 <User ID> The UserID that had a previously affiliated group deletedfrom it's set of groups 10 <Group The Group that no longer includes thisuser. Name>

[0467] TABLE 18, below, provides a description of the fields that followthe CREATE_USER log type value. TABLE 18 FIELD# FIELD DESCRIPTION 6 <Logtype> CREATE_USER 7 <IP Address> Workstation IP address used to issuethe command. 8 <Login ID> User ID that issued the command 9 empty field10 <User ID> new User ID that was created 11 <Max Maximum RetentionRetention> 12 <Default Default Retention Retention> 13 <User Dept>User's Department 14 <Page Print Page Print Limit Limit> 15 <Active>Whether the user is Active or not. YES or NO 16 <User User DescriptionDescription>

[0468] TABLE 19, below, provides a description of the fields that followthe DELETE_USER log type value. TABLE 19 FIELD# FIELD DESCRIPTION 6 <Logtype> DELETE_USER 7 <IP Address> Workstation IP address used to issuethe command. 8 <Login ID> User ID that issued the command 9 <User ID>User ID that was deleted

[0469] TABLE 20, below, provides a description of the fields that followthe CHANGE_USERDEF log type value. TABLE 20 FIELD# FIELD DESCRIPTION 6<Log type> CHANGE_USERDEF 7 <IP Address> Workstation IP address used toissue the command. 8 <Login ID> User ID that issued the command 9<Sybase ID> Sybase User ID (numeric) 10 <User ID> User Name that isbeing changed. 11 <Max Retention> Maximum Retention 12 <DefaultRetention> Default Retention 13 <User Dept> User’s Department 14 <PagePrint Limit> Page Print Limit 15 <Active> Whether the user is Active ornot. YES or NO 16 <User Description> User Description

[0470] TABLE 21, below, provides a description of the fields that followthe CREATE_GROUP log type value. TABLE 21 FIELD# FIELD DESCRIPTION 6<Log type> CREATE_GROUP 7 <IP Address> Workstation IP address used toissue the command. 8 <Login ID> User ID that issued the command 9 <GroupName> The new Group Name that was created 10 <Group Description>Description of the Group.

[0471] TAABLE 22, below, provides a description of the fields thatfollow the ADD_GROUP_CAP log type value. TABLE 22 FIELD# FIELDDESCRIPTION 6 <Log type> ADD_GROUP_CAP 7 <IP Address> Workstation IPaddress used to issue the command. 8 <Login ID> User ID that issued thecommand 9 <Group Name> The Group that received a new capability 10<Capability> The Capability that was added to the group.

[0472] TABLE 23, below, provides a description of the fields that followthe DELETE_GROUP_CAP log type value. TABLE 23 FIELD# FIELD DESCRIPTION 6<Log type> DELETE_GROUP_CAP 7 <IP Address> Workstation IP address usedto issue the command. 8 <Login ID> User ID that issued the command 9<Group Name> The Group that had a capability deleted 10 <Capability> TheCapability that was deleted from the group.

[0473] (vii) Fields Following Store Log Type Values

[0474] These log type values indicate specific details about documentand statement storage in the archive. TABLE 24, below, provides adescription of the fields that follow the STORE_DOCUMENT log type valuein an Audit report record. These fields appear after the log type valuein the Message column. Field values are delimited by commas. TABLE 24FIELD# FIELD DESCRIPTION  6 <Log type> STORE_DOCUMENT  7 <IP Address>Workstation IP address used to issue the command.  8 <Login ID> User IDthat issued the command  9-11 3 empty fields 12 <# Documents> The numberof documents stored. 13 <# Bytes> # of bytes that were stored 14-20 7empty fields 21 <set name> Database name receiving the documents 22<cycle date> Cycle name that received the documents

[0475] TABLE 25, below, provides a description of the fields that followthe STORE_STATEMENT log type value in an Audit report record. Thesefields appear after the log type value in the Message column. Fieldvalues are delimited by commas. TABLE 25 FIELD# FIELD DESCRIPTION  6<log type> STORE_STATEMENT  7 <IP Address> Workstation IP address thatissued the command.  8 <Login ID> Login ID of the user who issued thecommand.  9-11 3 empty fields 12 <#Images> The number of statementsstored. 13 <# bytes> # of bytes of data stored. 14-20 7 empty fields 21<set name> Database name that received the statements 22 <cycle date>Cycle name that received the statements

[0476] (viii) Fields Following Export Log Type Values

[0477] TABLE 26, below, provides a description of the fields that followthe EXPORT_JOBDESTVOL log type value in an Audit report record. Thesefields appear after the log type value in the Message column. Fieldvalues are delimited by commas. TABLE 26 FIELD# FIELD DESCRIPTION 6 <Logtype> EXPORT_JOBDESTVOL 7 <JobID> System assigned Job ID. (Numeric-8digits) 8 <Job Name> The name of the job as entered in Job Manager orvia NetQuery. 9 <Job Description> The description of the job as enteredin Job Manager or NetQuery. 10 <Login ID> The name of the user whosubmitted the job. 11 <Customer ID> The Customer ID who is receiving theexport. 12 <Job Type> The type of job which may be AUTOMATIC, MANUAL,DEFERRED or UNKNOWN JOB TYPE. 13-15 3 empty fields 16 <Submit The dateand time the job was first submitted to the DateTime> export server. Forexample May 11 1999 8:20 A.M. 17 empty field 18 <img count> # of imagesexported 19 <# bytes> # bytes 20 <JobDestID> The job destination ID.(Numeric 8 digits) 21 <Dest ID> Destination ID. 22-23 2 empty fields 24<DestState> Destination state may be: PENDING, READY, EXECUTING,COMPLETED, STOPPED, DEFERRED, RESOURCEWAIT, UNKNOWNJOB STATE. 25<DestStatus> The destination status of a job may be COMPLETED, STOPPED,FAILED, EXECUTING, NOT STARTED, UNKNOWN DEST STATUS 26 <Media Type>General description of the output media. Media types can include UNIXTAPE, UNIX PRINT, UNIX FAX, REMOTE FAX, REMOTE PRINT, REMOTE DISKETTE,REMOTE TAPE, TRANSMIT, UNIX DISKETTE, CD-ROM or UNKNOWN MEDIA TYPE. 27<Img Format> Image Format may be TIFF, PCL, PS, COF or RAW 28 <Priority>Priority of the job (1 through 9) 29 <CreateDBF> Whether the systemshould generate a DBF (index) file on this media. TRUE or FALSE 30<CreateIDX> Whether an index should be generated. TRUE or FALSE 31<CreateMICR> Whether or not MICR data should be generated. TRUE or FALSE32 <# of copies> Number of copies to be made. 33 <Img/per/page> For Faxor print, lists the images per page. 34 <Fax Phone> The fax phone number35 <volcnt> Volume Count 36-37 2 empty fields 38 <VolIndex> Volume Index(count starts at 1) 39 <VolImgCnt> The number of images placed on thevolume 40 <VolByte The number of bytes for that volume or fax. Cnt>

[0478] (ix) Fields Following Distribute Log Type Values

[0479] TABLE 27, below, provides a description of the fields that followthe DISTRIBUTE log type value in an Audit report record. These fieldsappear after the log type value in the Message column. Field values aredelimited by commas. The DISTRIBUTE value indicates that an export to aremote printer/fax was performed. TABLE 27 FIELD# FIELD DESCRIPTION  6<Log Type> DISTRIBUTE  7 <IP Address> Workstation IP address used toissue the command.  8 <Login ID> The name of the user who sent therequest.  9 <Cust ID> For an immediate request, the Customer ID displaysas USER_(—) 10 <Qryfile> The name of the query file. 11 empty field 12<# images> Number of images 13-15 3 empty fields 16 <#pages/ For Print,the number of pages printed. phone#> For Fax, the phone number of therecipient. 17-19 3 empty fields 20 <Destination> PRINT, FAX

[0480] (x) Fields Following a Text_Batch Log Type Value

[0481] TABLE 28, below, provides a description of the fields that followthe TEXT_BATCH log type value in an Audit report record. The TEXT_BATCHlog type indicates that a text file batch query job was exported. Thesefields appear after the log type value in the Message column. Fieldvalues are delimited by commas. The DISTRIBUTE value indicates that anexport to a remote printer/fax was performed. TABLE 28 FIELD# FIELDDESCRIPTION  6 <Log type> TEXT_BATCH  7 <IP Address> Workstation IPaddress used to issue the command.  8 <login ID> The User ID that issuedthe command at the Electronic Distribution menu to process a Text filebatch query.  9 <CustID> Customer ID 10 <Queryfile> Batch Query filename11 <QryID> If your TFBQ includes more than one query, this fieldidentifies the query sequence number. For example, the second query in abatch will have QryID = 2. 12 <# Images> Number of images resulting fromthe query. 13-19 7 empty fields 20 <Destination> The destination usedfor query results of a TFBQ. For example, Print, Fax, Database, CDROM,Diskette, and Tape.

[0482] j. Image Match Reports

[0483] (i) Match Statistics Report

[0484] To view, print, or delete an Image Match report, the userperforms the following acts:

[0485] From the Main Menu 500, the user selects Report Menu 540.

[0486] The user then selects the option for providing a Match StatisticsReport. The information contained in the Match Database Statisticsreport is accumulated during processing. In one embodiment, this reportprovides run-specific information about the total number of imagesprocessed, the total number of statements processed, the total number ofMCF records read, matched and not matched, and the total number ofrecords written during the Image Match processing. The Match databasestatistics report contains the following information: TABLE 29 ITEMDESCRIPTION Regular fronts Lists the total number of image items in thedatabase. Used fronts Lists the total image items that have beenmatched. Unused fronts Lists the total number of image items that havenot been matched. These are referred to as free items. StatementsIndicates the number of unique account numbers processed. Processed MCFRecords read Lists the total number of records in the MCF. Dummy recordsIndicates the number of synchronization records corresponding tono-activity statements or one dummy record per statement. The value inthis field depends on the structure of the MCF. MCF advertising Liststhe total number of records that have requested advertising imagesimages. MCF advertising Indicates the total number of advertising imagesrequested by the images in error MCF but not found in the database. MCFrecords Specifies the number of MCF records successfully matched to anmatched item in the database. Matched on Indicates the total of imagesmatched on account number, serial Acct/Ser/Amt number, and amount.Matched on Acct/Ser Indicates the total number of images matched onaccount and serial number. The dollar amount did not match and couldcontain blanks and/or zeros. Matched on Indicates the total number ofimages matched on account number Acct/Amt without and amount. No serialnumber was present in the MCF. serial no. Matched on Indicates the totalnumber of images matched on the account Acct/Amt with serial number andamount. A serial number was present in the MCF but no. no matchingserial number was found in the MICR data. MCF records not Indicates thetotal number of MCF records for which there was no matched match in thedatabase. % Unmatched Indicates the number of missing image itemsexpressed as a percentage of MCF records. Records written Specifies thenumber of records written to each output file.

[0487] (ii) Free Items Report

[0488] The Free Items Report lists the images contained in a particularbatch of a database cycle that have not been requested by the MCF. Thereport is sorted by time of capture. To view, print, or delete a FreeItems Report, the user performs the following acts:

[0489] At the Main Menu 500, the user selects the Report Menu option540.

[0490] The user then selects the option for providing a Free ItemsReport. The report title can contain the date, time, database name, andcycle name. Following is a description of the Standard and Custom FreeItems Report fields. TABLE 30 ITEM DESCRIPTION Match Status (A/U)Indicates whether the unmatched record account number is in the MCF. Aindicates that the account number is in the MCF. U indicates that theaccount number is not in the MCF. Account Number- If the report displaysbinary zeroes this means that the account Account number number couldnot be read and needs to be repaired using the MICR Repair module.Serial number Serial number Reference # Reference number Amount Dollaramount. TranCode Transaction code Routing Transit routing number SortCode Sort Code Usage records Total number of Free Items read. read a -type usage Total number of unmatched records having an records selectedaccount number in the MCF. u - type usage Total number of unmatchedrecords not having an records read account number in the MCF.

[0491] (iii) Missing Items Report

[0492] The Missing Items Report lists any items that are present in theMCF but have no corresponding image in the database. The total number ofunmatched records appears at the end of the report. To generate aMissing Items Report, the user performs the following acts:

[0493] At the Main Menu 500, the user selects the Report Menu option540.

[0494] The user then selects the option for a Missing Items Report. Thereport title can contain the date, time, database name, and cycle name.Following is a description of the Missing Items Report fields: TABLE 31ITEM DESCRIPTION Comment Specifies results of Good/Bad Split. Blankindicates that Good/Bad Split was not run. Customer Customer number(account number) associated with the Number unmatched item contained inthe MCF. Account Account number associated with the unmatched item.Number Trcode Transaction code for the item. Serial Number Serial numberassociated with the item. Serial Number Reference number associated withthe item. Reference # Routing Routing information associated with theinstitution processing the item. Amount Dollar amount associated withthe unmatched item as found in the MCF. Sort Code Sort code associatedwith the item. Unmatched Total number of records present in the MCF forwhich no records read matching items were found in the image database.

[0495] k. Cycle & Optical Reports

[0496] (i) Cycle Location Report

[0497] The Cycle Location report lists the current location of databasecycles by repository. The report indicates if a cycle is located in oneor more of the following repositories: TABLE 32 Raid Repository In thereport, a “D” indicates that the cycle resides on RAID. OpticalRepository In the report, an “O” indicates that the cycle resides onoptical. Tape Repository In the report, a “T” indicates that the cycleresides on tape.

[0498] To generate a Cycle Location report, the user performs thefollowing acts:

[0499] At the Main Menu 500, the user selects the Report Menu option540.

[0500] At the Report Menu, the user selects the Cycle Location Reportoption. At this point, the user has the option of viewing the reportonscreen, sending the report to a UNIX printer or canceling the report.Upon selecting an option, the report is provided.

[0501] (ii) Optical Jukebox Occupancy Report

[0502] The user can generate an Optical Jukebox Occupancy report to getinformation about the data that has been migrated to optical. Togenerate an Optical Jukebox Occupancy report, the Optical Administrationserver should be running. The Optical Administration server and theOptical Repository server should not be running at the same time. Theuser should stop the Optical Repository Server and then start theOptical Administration server before running the Optical JukeboxOccupancy report.

[0503] To generate an Optical Jukebox Occupancy report, the userperforms the following acts:

[0504] At the Main Menu 500, the user selects the Report Menu option540.

[0505] At the Report Menu, the user then selects the option thatgenerates the Optical Jukebox Occupancy Report. The Optical JukeboxOccupancy Report displays in the Report Browser.

[0506] 1. Tape Repository Reports

[0507] (i) Overview of Tape Repository Reports

[0508] Tape Repository Reports allow the user to get specificinformation about tape devices and data that has been migrated to tape.The following tape reports can be run from the Report menu: TABLE 33REPORT DESCRIPTION Tape Repository Lists a history of database cyclesthat have been Occupancy report migrated to tape Tape RepositoryProvides the available space on a specific Volume report tape volumeTape Repository Shows the current status of tape devices Drive Statusreport

[0509] (ii) Tape Repository Occupancy Report

[0510] The Tape Repository Occupancy report provides a history ofdatabase cycles that have been migrated to tape. This report containsthe following information: TABLE 34 INFORMATION DESCRIPTION Set Liststhe document type and database cycle that has been migrated Date WrittenShows the date (month-date-year format) that the cycle was migrated totape. Volume Lists the internal volume number of the tape that the cyclehas been migrated to. Images Lists the total number of images in themigrated cycle.

[0511] To generate a Tape Repository Occupancy report, the user performsthe following acts:

[0512] At the Main Menu 500, the user selects the Report Menu option540.

[0513] At the Report Menu, the user selects the option to create a TapeRepository Occupancy Report. The Tape Repository Occupancy reportdisplays in the Report Browser.

[0514] (iii) Tape Repository Volume Report

[0515] The Tape Repository Volume Report shows the amount of availablestorage space on your tape volumes. This report contains the followinginformation: TABLE 35 INFORMATION DESCRIPTION Volume Lists the internalvolume number of each tape volume. Type Shows the date (month-date-yearformat) that the cycle was migrated to tape. Status Indicates if thetape volume is available for reading or writing. Available Space Liststhe available storage space in megabytes (MB) (MB) on the tape volume.

[0516] To generate a Tape Repository Occupancy report, the user performsthe following acts:

[0517] At the Main Menu 500, the user selects the Report Menu option540.

[0518] At the Report Menu, the user selects the option to create a TapeRepository Volume report. The Tape Repository Volume report displays inthe Report Browser.

[0519] (iv) Tape Repository Drive Status Report

[0520] The Tape Repository Drive Status report provides statusinformation about tape storage devices. This report contains thefollowing information: TABLE 36 INFORMATION DESCRIPTION Drive Lists thedrive that the tape storage device is assigned to. Host The UNIX hostserver that the tape storage device is mounted on. Device The path thatthe tape device resides in. Device Type Shows details about the tapestorage device hardware. Status Indicates if the tape volume isavailable for reading or writing. Use Lists if the tape device can beread or written to (R=Read, W=Write).

[0521] The user performs the following acts to generate a TapeRepository Drive Status report:

[0522] At the Main Menu 500, the user selects the Report Menu option540.

[0523] At the Report Menu, the user selects the option to create a TapeRepository Drive Status Report. The Tape Repository Drive Status reportdisplays in the Report Browser.

[0524] 11. Tape Administration

[0525] a. Overview of Tape Administration

[0526] The Tape Administration menu contains options for managing tapevolumes that contain Titan cycles, which have been migrated from RAID totape. The Tape Administration menu includes tasks for verify tape driveavailability, mount and unmount tape volumes, add and remove tapevolumes to and from the tape silo, remove tape volume data, place a tapedrive online or offline, and recover a failed tape drive.

[0527] While tape volumes are in the tape silo, users can query tapedata through the NetQuery program. The tape silo's robotic arm transferstapes into the tape drives as tape volumes are requested for migrationand querying purposes. The number of tapes that can be stored in yourtape silo depends on the make and model of the equipment.

[0528] b. Checking the Availability of a Tape Drive

[0529] The user can view the read/write capability of tape drives thatare not currently in use by selecting the Check drive status option onthe Tape Repository Administration Menu. The Drive Status report liststhe following information about each available tape drive: TABLE 37INFORMATION DESCRIPTION Drive The directory location of the tape driveon the UNIX system Host The computer that the tape device is connectedto Device The filename and location of the tape drive's device fileDevice Type The type of tape device Status The current activity of thetape drive; a tape drive may be shown as Available, Writing or ReadingUse The read/write permissions of a tape drive Volume If a tape is inthe drive, this column shows the six-digit volume ID assigned to thetape volume

[0530] To generate an onscreen Drive Status report that displays tapedrive availability, the user performs the following acts:

[0531] At the Main Menu 500, the user selects the Tape AdministrationMenu 545.

[0532] At the Tape Repository Administration Menu 545, the user selectsthe option for checking the Drive Status report option. The user canthen note which tape drives are available.

[0533] C. Mounting a Tape Volume

[0534] Tape volumes should be mounted to make them accessible forreading or writing. The Mount option on the Tape Administration menuallows the user to instruct the tape silo to load a specific tape volumeinto a particular tape drive.

[0535] To mount a tape volume into a tape drive, the user performs thefollowing acts:

[0536] At the Main Menu 500, the user selects the Tape AdministrationMenu option 545.

[0537] At the Tape Repository Administration Menu, the user selects theoption for mounting a specific volume in a drive. A Drive Status Menudisplays. The Drive Status menu lists the currently available tapedrives. Only tape drives that are available for mounting are shown inthis report.

[0538] The user selects the number of the drive that the user wants tomount. A prompt then displays for entering the number of the tape volumethat the user wants to mount into the drive.

[0539] 12. Optical Administration

[0540] a. Overview of Optical Administration

[0541] Optical Administration is used to transfer images and relateddatabase files to and from optical cartridges stored in a jukebox. Thistransfer is called “migration”, or most commonly “optical migration”.The Optical Administration application includes an Optical Migrationprocedure and Optical Administration procedure.

[0542] Optical Administration allows the user to migrate your data from:RAID to Optical, Optical to RAID, Optical to Optical, Optical to Tape,and Tape to Optical. Optical Administration Procedure allows the user toadd and remove cartridges from the jukebox.

[0543] Each jukebox has its own Optical Administration database. Eachjukebox has an assigned identifier (e.g., OR1, OR2, OR3, etc). Eachjukebox's optical system uses three servers, which are listed below:TABLE 38 SERVER DESCRIPTION Optical Should be running to perform opticalservices. Robotics Server Optical Used for viewing and migrating imagesstored on Repository an optical disk. Server Optical Used for importingand exporting cartridges from the Administration jukebox. Server

[0544] b. Optical Cartridges

[0545] The optical system supports two types of optical cartridges:reusable (Erasable Optical Cartridge) and write once, read many (WORM).The user uses the Erasable Optical Cartridges for data that he does notrequire permanently. Once the user no longer require that data on areusable optical cartridge, he can erase it and reuse the cartridge.Alternatively, the user uses WORM cartridges when he requires apermanent record of the data. A Jukebox Occupancy Report is available todescribe the contents of your system jukeboxes.

[0546] The following describes the optical storage process data flow forone embodiment:

[0547] Run ImageCapture and ImageMatch (or import the images usinganother method).

[0548] Copy the images from disk to optical cartridge.

[0549] Delete the images from the disk. If the user generates a queryusing NetQuery, and the user has previously migrated the images tooptical cartridges, and if the cartridge containing the results of thequery is located in the jukebox, then the system immediately sends thequery results to NetQuery.

[0550] C. Other Applications

[0551] While Section 2B describes operating one embodiment of the EIMAsystem 100, other methods of operation can be used as well.Additionally, the sections below describe other applications that areused by other embodiments of the invention.

[0552] D. System Administration

[0553] 1. Introduction to System Administration

[0554] a. Overview of System Administration

[0555] System Administration is a utility that system administrators canuse to control user access and activities in the EIMA system 100. Theadministrator must have administrative rights to log on to SystemAdministration.

[0556] When a user logs on to the EIMA system 100, the system checks theuser's password and capabilities and then grants access to programsbased on the user's security level or capabilities. The systemadministrator is responsible for assigning capabilities to each group.Users cannot log on to the system until the system administrator hasadded the user account to System Administration.

[0557] The administrator can perform the following tasks in SystemAdministration: 1) create and manage user accounts, 2) create and managegroups, 3) assign groups to users, 4) set group permissions, 5) createfilters to control data access, 6) define weekends and holidays in thecalendar, and 7) create decision-making windows.

[0558] The System Administration module in the embodiment describedherein, utilizes a Java Plug-in.

[0559] b. System Requirements

[0560] The table below lists the hardware and software requirements of aworkstation 115, for one embodiment, that calls System Administration.TABLE 39 COMPONENT RECOMMENDATION Processor Pentium II or better, 200Mhz Minimum Hard 6-10 Megabytes Drive Space Recommended 64 MB RAMOperating Windows NT, Windows 95 and 98, Unix, Linux systems ScreenResolution 800 × 600 pixels. For instructions on changing your screenresolution, see Changing Your Screen Resolution. Web Browser InternetExplorer 5.5 or Netscape Navigator 4.7 Plug-ins Java ™ 2 RuntimeEnvironment, Standard Edition including the Java ™ Plug-in download. Formore information about this plug-in, please read Overview of the JavaPlug-in.

[0561] c. Running System Administration

[0562] The first time the administrator logs on to the EIMA Web site,the administrator will be prompted to download and install the JavaPlug-in if it is not already installed on your computer. The JavaPlug-in is required to run the System Administration applet.

[0563] To begin logging on to the EIMA system 100 (specifically the hostserver 110), the administrator enters the address of the EIMA Web sitein the Address bar of the Web browser. After the login information hasbeen authenticated, the administrator is able to access SystemAdministration and any other EIMA applications for which theadministrator has been granted permissions to use. The administratormust have administrator capabilities to use System Administration.

[0564] d. Overview of the System Administration Screen

[0565] After the user launches System Administration, the SystemAdministration Main Screen 1300 (FIG. 13) loads in the Web browser. Forthe embodiment shown, the System Administration screen is divided intotwo panes: the left pane 1305 and the right pane 1310. A split bar 1315separates these two panes. Of course, other arrangements are possible.

[0566] The currently selected option in the left pane 1305 controls thecontent of the right pane 1310. The left pane 1305 contains five mainmenu items. Double-clicking a menu item in the left pane 1305 expands orcollapses the options under the menu item. The following main menu itemsare available in the left pane: TABLE 40 ITEM DESCRIPTION User AdminContains options for listing and adding user accounts Group AdminContains options for listing and adding groups Query Filter Containsoptions for listing and adding query filters Admin Calendar Contains anoption for setting the decision control Admin calendar Decision Containsoptions for setting decision-making time limits Window for exceptionitems Admin

[0567] The right pane 1310 displays the tab or tabs for the selectedoption in the left pane. Clicking a menu item option changes the contentof the right pane 1310.

[0568] The split bar 1315 is the horizontal line that separates the leftpane 1305 and the right pane 1310. The administrator can adjust the sizeof the right and left panes by clicking-and-dragging the split bar tothe right or left.

[0569] e. Java Plug-in

[0570] In one embodiment, System Administration is a Web-based Javaapplet that is embedded in HTML, although other architectures can beused as well. The System Administration applet runs in a Web browser andis part of the EIMA system Web page. To run System Administration, theJava Plug-in should be installed on the client workstation 115.

[0571] 2. Listing Users

[0572] a. Overview of Users

[0573] The administrator can view user accounts and their descriptionsin the Users List. The User Name column contains the account name; theDescription column provides more details about the account.

[0574] The administrator performs the following acts to display all useraccounts:

[0575] If the User Admin options are not visible in the left pane, theadministrator double-clicks User Admin. The User Admin menu expands.

[0576] The administrator clicks the List Users 1320 option. The UserList is displayed in the right pane 1310, as shown in FIG. 30.

[0577] A user is an individual who can log on to the EIMA Web site andperform specified activities in EIMA applications. Users with similaraccess rights are usually members of the same group; however, a user maybelong to more than one group. Group membership designates theactivities that a user can perform in the EIMA system.

[0578] b. Adding a User

[0579] The administrator can begin to add a new user by clicking the AddUser option 1325 under User Admin in the left navigation pane. Theadministrator supplies the following information for each new useraccount: 1) name of the account, 2) description, 3) password, and 4)group assignment. To assign a group to a user, the administrator shouldhave already added the group to System Administration.

[0580] The administrator performs the following acts to add a new useraccount to the EIMA system:

[0581] If the Add User option 1325 in the left pane is not visible, theadministrator activates the User Admin option 1330. The User Admin menuexpands.

[0582] Under the User Admin menu, the administrator activates the AddUser option 1325. The User Information card 1400 displays in the rightpane 1310, as shown in FIG. 14.

[0583] In the User Name text box 1405, the administrator types the fullname of the user account. In the Password text box 1410, theadministrator types the password for the user account. In the ConfirmPassword text box 1415, the administrator re-enters the same passwordthat was entered earlier. In the Description text box 1420, the usertypes a description for the user account.

[0584] The administrator selects the appropriate options as needed:TABLE 41 OPTION DESCRIPTION User Must This option forces the user tochange the account Change Password password the next time he or she logson to the EIMA at Next Logon system. By default, this option is alreadyselected. Account Disabled This option deactivates the user account anddoes not allow the user to log on to System Administration. PasswordNever This option lifts the x-day mandatory password Expires changeoption from the user account. The user will not be required to changetheir password after x days. User Cannot This option prevents the userfrom changing the Change Password account password.

[0585] The administrator clicks the Groups tab. The Groups card displays(discussed below).

[0586] The administrator clicks a group in the left box, then click theAdd button. The group is added to the right list box and the useraccount is assigned to the group.

[0587] The administrator clicks the “Go” button 1425. The administratorcan later modify the user account.

[0588] c. Printing a User List Report

[0589] The administrator can print a report that lists all the users andgroups in the EIMA system 100. The first part of the report contains alist of current users; the second part of the report lists groupinformation. The following data is included in the report: user name anddescription, group names, and password and account status of each group.

[0590] The administrator performs the following steps to print a UserList report:

[0591] If the User Admin options are not visible in the left pane 1305,the administrator double-clicks User Admin 1330. The User Admin menuexpands.

[0592] The administrator activates the List Users option 1320. The UserList is displayed in the right pane 1310.

[0593] Below the User List, the administrator clicks the Print User Listbutton 1335. The Print User List dialog box 1500 opens as shown in FIG.15.

[0594] In the Print User List dialog box, the administrator modifies thefollowing settings as needed. TABLE 42 SECTION DESCRIPTION OrientationSelect Portrait to print images across the short side of Section thepage. Select Landscape to print images across the long side of the page.Margins Click the Units down-arrow, then select a unit of Sectionmeasurement. Enter the desired margin sizes in the Left, Right, Top andBottom text boxes. Click the Resolution down-arrow, then select 150, 300or 600. Select the Print margins option to print the margins on thepage. Text Click the Font down-arrow, then select a font for the report.Properties Select the Size down-arrow, then select the font Section sizefor the report.

[0595] In the Print User List dialog box, the administrator clicks the“Go” button 1505. The report is printed.

[0596] d. Removing a User Account

[0597] The administrator can permanently delete a user account usingSystem Administration. Deleting a user account prevents the user fromlogging on to the EIMA system. User accounts are deleted in the Userscard.

[0598] The administrator performs the following acts to remove a useraccount using System Administration:

[0599] If the User Admin options are not visible in the left pane 1305,the administrator double-clicks User Admin 1330. The User Admin menuexpands.

[0600] Under User Admin, the administrator activates the List Useroption 1320. The User List displays in the right pane 1310.

[0601] In the right pane 1310, the administrator clicks the row thatcontains the user account to delete which highlights the row in the usertable.

[0602] The administrator activates the Deleted Selected User button1340. The application deletes the user account and removes the row fromthe user table.

[0603] e. Changing a User Password

[0604] There are two ways to change a user's password. As the systemadministrator, she can change a user's password from the Users card.Users also can change their own passwords.

[0605] f. User Information Card

[0606] (i) Overview of the User Information Card

[0607] The User Information card 1400 is where user account informationis entered and modified. The User Information card is comprised of theUser and Group cards. The following table contains a description of thefields and options in the User card: TABLE 43 FIELD OR OPTIONDESCRIPTION User Name Enter a descriptive name for the user account.Text Box Password Text Enter the password that the user will use to logBox into the EIMA system. Confirm Re-enter the same password that wasentered into the Password Password text box. Text Box Description Entera word or phrase that further describes the user Text Box account. UserMust Select this option to force a user to change his or her Changepassword at next log on. Password at Next Login Option Account Selectthis option to prevent a user from logging on Disabled to the EIMAsystem. Option Password Never Select this option to allow a user to logon the EIMA Expires Option system with the same password for anunlimited period of time. User Cannot Select this option to prevent auser from changing Change Password his or her password. Option

[0608] (ii) Overview of the Groups Card

[0609] The Groups card 1600 (FIG. 16) is where the administrator assignsor unassigns a group or groups to a user account. The following tablecontains a description of the Groups card's fields and options: TABLE 44FIELD OR OPTION DESCRIPTION User Name Displays the name of the useraccount that is currently Field open for editing. Available Contains alist of all groups in the EIMA system. Groups Depending on the number ofexisting groups, you may List Box need to scroll through the list to seemore group names. Add/Remove Clicking the Add button when a group ishighlighted in the Buttons: Available Groups list box moves the group tothe Selected Groups List. Clicking the Add All button moves all groupsto the Selected Groups List. Clicking the Move button when a group ishighlighted in the Selected Groups list box moves the group to theAvailable Groups list box, and unassigns the group. Clicking the MoveAll button moves all groups in the Selected Groups list box to theAvailable Groups list box. Selected Displays any groups that arecurrently assigned to the user. Groups List Box

[0610] 3. Group Administration

[0611] a. Overview of Groups

[0612] A group is a collection of users with common capabilities andlimitations. Groups allow the administrator to control user access andactivity in the EIMA system 100. The Group Admin menu is located in theleft pane 1305 and contains options for creating and managing groups. Inone embodiment, the administrator can double-click Group Admin option1335 to expand or collapse its options.

[0613] A group is made up of the following information: TABLE 45INFORMATION DESCRIPTION Group name Name assigned to a collection ofusers. Description Provides additional information about the group. Thisfield also appears in the Group List window. Available Sets the daterange that group members can query Query Date document items. RangeCapabilities Defines the activities group members can perform in theEIMA system. Capabilities also control what programs group members canaccess. Databases Lists the databases that group members can query.Filters Restricts the information that group members have access to.Users User accounts assigned to the group.

[0614] b. Overview of Capabilities

[0615] A capability restricts or permits the activities that members ofa group can perform in the EIMA system 100. Capabilities also controlwhat applications a user can access. Capabilities are assigned at thegroup level.

[0616] There are several predefined capabilities available in theCapabilities card of the Group Information tabbed pane 1705 (FIG. 17).Capabilities are assigned when the administrator creates or modifies agroup.

[0617] The following table defines each of the predefined capabilitieslisted in the Capabilities card of the Group Information tabbed pane.TABLE 46 CAPABILITY NAME DESCRIPTION ADMINISTRATION Can view and assigncategories to groups in the System Administration program. CONFIGURATIONCan see and select the Configuration category. DEFINE CALENDARS Candefine holiday and business days on the decision calendar and opendecision windows. DEFINE DECISION Can determine the amount of time for adecision WINDOWS window. DEFINE GROUPS Can create, change or deletegroups. DEFINE USERS Can create, change or delete users. EXPORT 8MM TAPECan select a customer profile that exports images to 8 MM tape. EXPORTCDROM Can create a customer profile that exports images to a CD-ROM.EXPORT DAT Can create a customer profile that exports images to DATtape. EXPORT DATABASE Can create a customer profile that exports imagesto a new database/cycle. EXPORT DISKETTE Can create a customer profilethat exports images to diskette. EXPORT DLT Can export images to DLTtape. EXPORT QIC TAPE Can create a customer profile that exports imagesto QIC tape. EXPORT REMOTE FAX Can create a customer profile thatexports images to a remote fax on the UNIX system. EXPORT REMOTE PRINTCan create a customer profile that exports images to a remote printer onthe UNIX system. EXPORT SQUARE TAPE Can create a customer profile thatexports images to square tape. EXPORT TAPE Can select a customer profilethat exports images to tape. EXPORT TRANSMIT Can create a customerprofile that exports images to a modem. IMMEDIATE REMOTE FAX Can submitfax job requests to the UNIX host system and bypass the ElectronicDistribution Menu. IMMEDIATE REMOTE Can submit print job requests to theUNIX host system PRINTER and bypass the Electronic Distribution Menu.NETQUERY Can access the NetQuery program and execute queries. QUERYGrants access to the Query module. The QUERY capability allows users tosee and to select the Query tab. SHOW DATABASE Can see and selectdatabases from the Available Databases and Assigned list boxes inNetQuery. SUPERUSER Can create, change or delete customer profiles andalso assign these profiles to any group. Users assigned to the SuperUsercapability have full viewing and reading abilities on all databases andcan export to all media types. SYSTEMADMINISTRATION Can access theSystem Administration program.

[0618] c. Adding a Group

[0619] The administrator can begin to add a new group by clicking theAdd Groups option under Group Admin 1335.

[0620] The administrator performs the following acts to add a new groupto System Administration:

[0621] If the Group Admin options are not visible in the left pane, theadministrator double-clicks Group Admin option 1335. The Group Adminmenu expands.

[0622] The administrator activates the Add Groups option. The Groupcontrol card 1700 displays in the right pane 1310 as shown in FIG. 17.

[0623] In the Group Name text box 1705, the administrator types a namefor the group. In the Description text box 1710, the administrator typesa description for the group. In the Available Query Date Range text box1715, the administrator types the number of days prior to the currentdate that he wants group members to be able to query the selecteddatabases.

[0624] The administrator clicks the Users tab. The administratoractivates a user account in the Available Users list box, then activatesthe Add button. The administrator can repeat as needed.

[0625] The administrator clicks the Documents tab. The administratoractivates a document type in the Available Documents list box, thenactivates the Add button. The administrator can repeat as needed.

[0626] The administrator clicks the Databases tab. The administratoractivates a database in the Available Databases box, then activates theAdd button. The database is added to the Selected Databases list box.The administrator can repeat as needed.

[0627] The administrator clicks the Capabilities tab. The administratoractivates a capability in the Available Capabilities list box, thenactivates the Add button. The administrator can repeat as needed.

[0628] The administrator clicks the “Go” button 1720. The group is savedand displayed in the Group List. The administrator can later modify theGroup.

[0629] d. Removing a Group

[0630] The administrator can delete a group from the EIMA system. Theadministrator performs the following steps to remove a group:

[0631] If the Group Admin options are not visible in the left navigationpane 1305, the administrator double-clicks Group Admin 1335. The GroupAdmin menu expands.

[0632] The administrator clicks the List Groups option. The Group Listcard 1800 (FIG. 18) displays in the right pane 1310.

[0633] In the right pane 1320, the administrator activates the row thatcontains the group the administrator wants to delete. The group ishighlighted in the group table.

[0634] The administrator activates the Delete Group button. The group isdeleted.

[0635] e. Group Information Card

[0636] (i) Overview of the Group Information Card

[0637] The Group Information card 1720 is where group accountinformation is entered and modified. The Group Information card containsthe following cards: Group card, Users card, Documents card, Databasescard, and Capabilities card.

[0638] (ii) Overview of the Group Control Card

[0639] The Group Control card 1700 is where the operator enters or viewsthe name, description, and available query dates for a group account.The Group Control card 1700 is located in the Group Information card.The following table contains a description of the Group Control card'sfields and options: TABLE 47 FIELD OR OPTION DESCRIPTION Group NameEnter a descriptive name for the group account. Text Box DescriptionEnter a word or phrase that further describes the group. Text BoxAvailable Enter the number of days prior to the current date Query Datethat you want group members to be able to query Range (in days) theselected databases. For example, you would enter 10 in this text box ifthe administrator wanted users in the group to only have access to datathat is dated 10 days from the current day.

[0640] (iii) Overview of the Users Card

[0641] The Users card is where the administrator assigns users to andremove users from a group, and is located in the Group Information card.The following table contains a description of the Users card's fieldsand options: TABLE 48 FIELD OR OPTION DESCRIPTION Group Name Displaysthe name of the group account that is currently Text Box open forediting. Available Contains a list of users in the EIMA system 100.Users List Box Add/Remove Clicking the Add button when a user ishighlighted in the Buttons Available Users list moves the user to theSelected Users list. Clicking the Add All button moves all users in theAvailable Users list to the Selected Users list. Clicking the Removebutton when a user is highlighted in the Selected Users list moves theuser to the Available Users list, unassigning the user from the group.Clicking the Remove All button moves all users in the Selected Userslist to the Available Users list. Selected Users Displays users that arecurrently assigned or going to be List Box assigned to the groupaccount.

[0642] (iv) Overview of the Documents Card

[0643] The Documents card is where the administrator assigns a documenttype to or remove a document type from a group. The Documents card islocated in the Group Information card. The following table contains adescription of the Documents card's fields and options: TABLE 49 FIELDOR OPTION DESCRIPTION Group Name Displays the name of the group accountthat is currently Text Box open for editing. Available Contains a listof all document types in the EIMA system. Documents List Box Add/RemoveClicking the Add button when a document is highlighted in Buttons theAvailable Documents list moves the document to the Selected Documentslist. Clicking the Add All button moves all documents in the AvailableDocuments list to the Selected Documents list. Clicking the Removebutton when a document is highlighted in the Selected Documents listmoves the document to the Available Documents list. Clicking the RemoveAll button moves all documents in the Selected Documents list to theAvailable Documents list. Selected Displays all document types that arecurrently assigned or Documents are going to be assigned to a groupaccount. List Box

[0644] (v) Overview of the Databases Card

[0645] The Databases card is where the administrator assigns a databaseto or remove a database from a group. The Databases card is located inthe Group Information card. The following table contains a descriptionof the Databases card's fields and options: TABLE 50 FIELD OR OPTIONDESCRIPTION Group Name Displays the name of the group account Text Boxthat is currently open for editing. Available Contains a list of all thedatabases in your Databases Titan system. List Box Add/Remove Clickingthe Add button when a database is Buttons highlighted in the AvailableDatabases list moves the document to the Selected Databases list.Clicking the Add All button moves all databases in the AvailableDatabases list to the Selected Databases list. Clicking the Removebutton when a database is highlighted in the Selected Databases listmoves the document to the Available Databases list. Clicking the RemoveAll button moves all documents in the Selected Databases list to theAvailable Databases list. Selected Displays all databases that arecurrently assigned Databases or are going to be assigned to a groupaccount. List Box

[0646] (vi) Overview of the Capabilities Card

[0647] The Capabilities card is where the administrator assignscapabilities to or remove capabilities from a group. The Capabilitiescard is located in the Group Information panel. The following tablecontains a description of the Capabilities card's fields and options:TABLE 51 FIELD OR OPTION DESCRIPTION Group Name Displays the name of thegroup account that Text Box is currently open for editing. AvailableContains a list of all the capabilities in your Titan Capabilitiessystem. List Box Add/Remove Clicking the Add button when a capability isButtons highlighted in the Available Capabilities list moves thecapability to the Selected Capabilities list. Clicking the Add Allbutton moves all capabilities in the Available Capabilities list to theSelected Capabilities list. Clicking the Remove button when a capabilityis highlighted in the Selected Capabilities list moves the capability tothe Available Capabilities list. Clicking the Remove All button movesall capabilities in the Selected Capabilities list to the AvailableCapabilities list. Selected Displays all capabilities that are currentlyassigned or are Capabilities going to be assigned to a group account.List Box

[0648] 4. Query Filter Admin

[0649] a. Overview of Query Filters

[0650] A query filter selectively screens a group of users from queryingspecific data in a database cycle. The administrator can use queryfilters to limit a group's ability to retrieve and view only items thatmeet the conditions of the filter. Query filters are assigned at thegroup and document type levels. The administrator can use query filterswhen it is appropriate to limit user access to just a portion of thedocument items in a database.

[0651] The administrator assigns the following items when creating aquery filter: TABLE 52 ITEM DESCRIPTION Group The query filter isapplied to all databases that are assigned to the group. Document typeThe type of document the filter affects. The query filter is applied toall databases that contain the document type. Conditions A set ofrestrictions that identify the documents a group can retrieve or view.

[0652] For example, the administrator may not want a user group to beable to view all document items in a check cycle. To prevent the usergroup from querying and retrieving every document in the cycle, theadministrator can create a query filter that limits the group toretrieving only document items within a range of routing numbers. Thisfilter will be applied to each database that is assigned to the usergroup and contains the same document type.

[0653] b. Overview of Query Filter Conditions

[0654] Query filter conditions define the query restrictions of afilter. A condition places a restriction that limits the values userscan retrieve from a query field. A condition can be as simple asrestricting a group from querying a range of account numbers or ascomplex as restricting a group from querying specific values in severalquery fields. The administrator can place several conditions in the samequery filter.

[0655] Conditions are entered in the Filter Conditions card. Prior tosetting query filter conditions, the operator should select thefollowing items: the range of document items that you want to preventthe group from retrieving, the range of document items that you want thegroup to be able to retrieve, the query fields that will be affected bythe conditions, and how the conditions will be constructed in the FilterConditions grid. The administrator can use both comparison and logicaloperators to set field conditions. An operator is text that specifieswhat operation can be performed on the elements in a condition.

[0656] c. Overview of Comparison and Logical Operators

[0657] By using comparison and logical operators in query filterconditions, the administrator can restrict users from retrieving recordsthat contain a particular query field value. Comparison and logicaloperators can be added to a query filter condition in the FilterConditions grid.

[0658] A comparison operator compares two values and then returns ananswer that is based on the result of the comparison. Comparisonoperators are available in the first column of the Filter Conditionstable. Clicking a cell in this column opens a drop-down list of thefollowing logical operators: TABLE 53 OPERATOR DESCRIPTION EqualRetrieves records that contain an exact value in the current field.Greater Than Retrieves records that are greater than a certain value inthe current field. Less Than Retrieves records that contain less than acertain value in the current field. Greater Than Retrieves recordscontaining values that are greater than or Equal or equal to a certainvalue in the current field. Less Than Retrieves records containingvalues that are less than or Equal or equal to a certain value in thecurrent field. Not Equal Retrieves records that do not equal a specifiedvalue for the current field. Like Retrieves records that contain astring of values in the current field. Between Retrieves recordscontaining values that fall between a range of values in a certainfield. When the Between operator is selected, the administrator needs toenter a second value for the row in the Value2 cell. The Value2 field isonly active when the Between operator is selected.

[0659] A logical operator tests if a particular argument is true orfalse and then performs an action based on the result. Logical operatorsare available in the Operators column in the Filter Conditions table.The administrator uses the following logical operators in a filtercondition: TABLE 54 OPERATOR DESCRIPTION OR operator Use the OR operatorto test if one or another argument is true and then return any matchingrecords that contain either arguments. AND operator Use the AND operatorto test if all arguments are true and then receive matching records thatcontain the argument. NOT operator Use the NOT operator to exclude anargument from your query results and then receive only those recordsthat do not contain the argument. Parenthesis ( ) Use parenthesis toenclose a logical statement in an advanced query.

[0660] d. Displaying Query Filters

[0661] The administrator can view a list of existing query filters inthe Query Filters card. The administrator performs the following acts todisplay the query filters list:

[0662] If the Query Filter Admin options are not visible in the leftpane, the administrator double-clicks the Query Filter Admin option1345. The Query Filter Admin menu expands.

[0663] The administrator activates a List Filters option. The QueryFilter List card displays in the right pane 1310, as shown in FIG. 19.

[0664] e. Viewing Query Filter Information

[0665] The administrator can view existing query filters in the FilterInformation card 1905. The Filter Information card 1905 contains theQuery Filters and Filter Conditions tabs. The Query Filter tab containsthe following information: name and description of the query filter, andgroup and document type assignment.

[0666] The Filter Conditions tab contains the condition of the queryfilter. The administrator performs the following acts to view thesettings for an existing query filter.

[0667] If the Query Filter Admin options are not visible in the leftpane, the administrator double-clicks the Query Filter Admin option1345. The Query Filter Admin menu expands.

[0668] The administrator activates the List Filters option. The QueryFilter List card 1905 displays in the right pane, as shown in FIG. 19.

[0669] The administrator activates the row that contains the desiredquery filter. The Filter Information card displays, as shown in FIG. 20.To view the description, group and document type fields, theadministrator clicks the Query Filter tab. To view the query filterconditions, the administrator clicks the Filter Conditions tab.

[0670] f. Adding a Query Filter

[0671] The administrator can create a query filter to limit members of agroup from querying and viewing certain documents. Query filters areadded from the Query Filter List card. The administrator can setmultiple conditions in the same query filter. The administrator performsthe following acts to create a query filter:

[0672] If the options under the Query Filter Admin menu are not visible,the administrator double-clicks the Query Filter Admin 1345 in the leftpane 1305.

[0673] In the left pane 1305, the administrator activates the Add Filteroption. The Filter Information card opens in the right pane, as shown inFIG. 20.

[0674] In the Query Filter Name text box 2005, the administrator entersa name for the query filter. In the Description text box, theadministrator enters a description for the query filter.

[0675] The administrator activates the Group down-arrow, and selects thegroup to which he wants to assign the query filter.

[0676] The administrator activates the Document Type down-arrow, andselects the document type. The filter only applies to the document typethat the administrator selects.

[0677] In the Filter Information card, the administrator clicks theFilter Conditions tab. The Filter Conditions card 200 opens, as shown inFIG. 21.

[0678] The administrator locates and scrolls to the query field that hewants to set a condition on. Next to this query field, he clicks in theLogical Operators column 2105. A drop-down list of logical operatorsopens. The administrator selects a logical operator from the drop-downlist.

[0679] The administrator enters an appropriate value in the Value1 cell2120.

[0680] If needed, the administrator enters an appropriate value in theValue2 cell 2125.

[0681] The administrator can repeat the above acts as needed.

[0682] The administrator clicks the “Go” button 2130 and the queryfilter is created.

[0683] The administrator can change the definition of a query filter.The following query filter settings can be modified: description, group,document type, and conditions.

[0684] g. Query Filter Information Card

[0685] (i) Overview of the Query Filter Information Card

[0686] The Query Filter Information card 2000 is where query filterinformation and conditions are entered and modified. The Query FilterInformation card 2000 includes the Query Filter and Filter Conditioncards.

[0687] (ii) Overview of the Query Filter Card

[0688] The Query Filter card is where the administrator enters queryfilter settings. The following table contains a description of thefields in the Query Field card: TABLE 55 FIELD OR OPTION DESCRIPTIONQuery Filter Name Text Box Enter a descriptive name for the queryfilter. Description Text Box Enter a word or phrase that furtherdescribes the query filter. Group List Box Click the Group down-arrowand then select a group name. The query filter will be assigned to theselected group. Document Type List Box Click the Document Typedown-arrow and then select a document type. The query filter will beapplied to the selected document type.

[0689] (iii) Overview of the Filter Conditions Card

[0690] After setting up the name, description, group, and document typefor a query filter, the administrator can define the filter'sconditions. Filter conditions allow the administrator to restrict thedocument items that a group can query and view. Filter conditions areentered in the Filter Conditions grid.

[0691] A condition limits the values users can retrieve from a queryfield by specifying criteria on a particular query field in a table.Conditions are applied to any databases that are assigned to theselected group and contain the selected document type and query field.

[0692] The Filter Conditions grid contains the following columns: TABLE56 COLUMN DESCRIPTION Op column Clicking in this column opens adrop-down list of logical operators. FieldName column Contains the queryfields on which you can set conditions. The administrator can change thecurrently displayed query field by clicking in this column and thenselecting a different field. Operators column Contains comparisonoperators. Clicking in this column opens a drop-down list of comparisonoperators. Value1 and Value2 Enter the numerical or text values columnsthat restrict what query field values the group can query.

[0693] 5. Calendar Administration

[0694] a. Overview of the Decision Calendar

[0695] The decision calendar is an electronic calendar that is used toschedule a company's decision-making and non-decision making days in theEIMA system. The calendar works with decision windows to control whenusers can make decisions on positive pay products in the NetQueryprogram.

[0696] Decision windows rely on the electronic calendar's settings todetermine decision and non-decision making days. The administratordefines the company's calendar year on the electronic decision calendarbefore creating a decision window.

[0697] The administrator does not need to set the decision calendar ifan institution is not using NetQuery's positive pay module.

[0698] On the Decision Control Calendar 2200 (FIG. 22), each squareblock (e.g. square 2205) designates a day of the month. Calendar daysare highlighted white, green, blue or red. Of course other colors orindicators can be used. The color of a square indicates whether the dayis a business day, holiday, Saturday or Sunday. The legend to the rightof the calendar identifies what each color represents. In the embodimentdescribed herein, the Table below defines each color. TABLE 57 COLORDESCRIPTION White Business/decision-making days BlueHoliday/non-decision making days Red Saturday/non-decision making dayGreen Sunday/non-decision making day

[0699] By default, the following days are scheduled as decision-makingdays on the calendar: Monday, Tuesday, Wednesday, Thursday, and Friday.The administrator can change the status of a day by activating itssquare on the calendar. Changes are applied to the current month byclicking the Modify Current Month Definition button 2210. Theadministrator can reverse edits by clicking the Reset Calendar button2215.

[0700] By default, users are unable to make decisions on Saturdays,Sundays, and holidays. To allow users to make decisions on Saturdays,Sundays or holidays, the administrator should change the day's color towhite.

[0701] 6. Decision Window Administration

[0702] a. Overview of Decision Windows

[0703] A decision window defines the time frame that a group can makepay or no pay decisions on exception items in the NetQuery program.Decision windows allow the administrator to control the exact dates andtimes that a group can make decisions on positive pay items.

[0704] When the administrator creates a decision window, he will need toprovide the following information: name and description of the decisionwindow, group and document type assignment, conditions of the window(start and end times), and possible override conditions.

[0705] b. Listing Decision Windows

[0706] The administrator can view existing decision windows in theDecision Window List 2300 (FIG. 23). The following information is shown:the name of the decision window, description, and the assigned documenttype and group. The administrator performs the following acts to displayall decision windows:

[0707] If the List Decision Window option is not visible in the leftpane, the administrator double-clicks the Decision Window Admin option1350. The Decision Window Admin menu expands.

[0708] The administrator activates the List Decision Window option. TheDecision Window List 2300 is displayed in the right pane, as shown inFIG. 23.

[0709] c. Overview of Window Conditions

[0710] A window condition sets the duration of a decision window bydefining the window's start and end times. The administrator enterswindow conditions in the Window Conditions card.

[0711] The following paragraphs define the fields in the WindowConditions card.

[0712] Start Delay Text Box

[0713] The administrator enters the number of days from today's dateforward on which the administrator wants the decision window to go intoeffect. Entering “0” applies the decision window immediately (today).Weekends and holidays are not counted toward the start delay time.

[0714] Start Time Text Box

[0715] The start time determines the time that users can begin to makedecisions on exception items in NetQuery. The administrator enters theexact time that he wants the decision window to be applied and thenselects AM or PM from the drop-down list to the right of the field.

[0716] Days Open Text Box

[0717] The Days Open and Time Open text boxes work together to calculatethe duration of a decision window. In the Days Open text box, theadministrator enters the total number of days that he wants the decisionwindow to last.

[0718] Time Open Text Box

[0719] If the administrator wants to extend the length of a decisionwindow by a few or several hours, he enters the number of hours in theTime Open text box. This entry is based on a 24-hour clock.

[0720] Example Date Text Box

[0721] This text box defaults to the current date. This value is used tocalculate the start date of the decision window in the Translation ofDecision Window text box.

[0722] Translation of Decision Window Text Box

[0723] This text box is for viewing purposes. After entering values inthe Window Condition section, the administrator has the option ofclicking the “Go” button to display a summary of his decision windowsettings in the Translation of Decision Window text box. If there is anerror in the summary, he can make the appropriate corrections.

[0724] d. Overview of Override Conditions

[0725] The administrator can “override” or “supersede” the conditions ofa decision window by entering an exception time in the OverrideCondition section of the Window Conditions card. An override conditionextends the decision-making time frame of a decision window.

[0726] The following paragraphs define the fields in the OverrideCondition section of the Window Conditions card.

[0727] Date Text Box

[0728] The administrator enters the date that he wants to be used tocalculate the start date for the override.

[0729] Start Delay Text Box

[0730] The administrator enters the number of days forward from the datedisplayed in the Date text box on which you want the override to go intoeffect.

[0731] Start Time Text Box

[0732] The start time determines the time that the override conditionbegins. The administrator enters the exact time that he wants theoverride to be applied to the decision window and then select AM or PMfrom the drop-down list to the right of the field.

[0733] Days Open Text Box

[0734] The Days Open and Time Open text boxes work together to calculatethe duration of the override condition. In the Days Open text box, theadministrator enters the total number of days that he wants the overridecondition to last.

[0735] Time Open Text Box

[0736] If the administrator wants to extend the length of an overridecondition by a few or several hours, he enters the number of hours inthe Time Open text box.

[0737] e. Creating a Decision Window

[0738] The administrator can begin to create a decision window byclicking the Add Decision Window option under Decision Window Admin inthe left pane. The administrator should supply the following informationfor the decision window: name and description, group and document typeassignment, window permissions, start date and duration of the window,and possible override conditions.

[0739] The operator performs the following acts to create a decisionwindow:

[0740] If the Add Decision Window option in the left pane is notvisible, the administrator double-clicks the Decision Window Adminoption 1350. The Decision Window Admin menu expands.

[0741] Under the Decision Window Admin menu, the administrator activatesthe Add Decision Window option. The Decision Window Information card2400 displays in the right pane 1310, as shown in FIG. 24.

[0742] In the Decision Window Name text box 2405, the administratorenters a name for the decision window. In the Description text box 2410,the administrator enters a brief description for the window.

[0743] The administrator clicks the Group down-arrow 2415 and selects agroup assignment for the decision window.

[0744] The administrator clicks the Document Type down-arrow 2420 andselects a document type assignment for the decision window.

[0745] The administrator selects or deselects the following decisionwindow options as needed: TABLE 58 DECISION WINDOW DESCRIPTION DecisionAllowed When this option is selected, decisions can be made. When thisoption is not selected, decisions cannot be made for this document type.Specify Decision Window Select this option to establish a time limit fordecisions. When this option is not selected, decisions can be madecontinuously without a time restriction.

[0746] The administrator clicks the Window Conditions tab. The WindowConditions card 2500 displays, as shown in FIG. 25.

[0747] In the Start Delay text box 2505, the administrator enters thenumber of days from today on which he wants the decision window to gointo effect. Enter “0” to apply the decision window immediately (today).

[0748] In the Start Time text box 2510, the administrator enters theexact time that he wants the decision window to start.

[0749] In the Days Open text box 2515, the administrator enters thetotal number of 24-hour days that the decision window should last. Ifthis time is less than 24-hours, enter “0” and then enter the number ofhours in the Time Open text box.

[0750] In the Time Open text box 2520, the administrator enters anadditional number of hours for the decision window to extend thedecision window by a few or several hours. These hours are added to thenumber of days already entered in the Days Open text box.

[0751] In the Window Condition section, the administrator activates the“Go” button 2525. The site displays a summary of the decision windowconditions in the Translation of Decision Window text box 2530. Theadministrator verifies that the text in the Translation of DecisionWindow text box 2530 is correct. If the translation is incorrect, theadministrator returns to the appropriate text boxes and modify thevalues. If the administrator is satisfied with the decision window, hesaves the decision window and displays the new window in the DecisionWindow List 2300.

[0752] f. Overriding a Decision Window

[0753] The administrator can make exceptions to the duration of adecision window by entering override conditions in the OverrideCondition section of the Window Conditions card. The administratorshould have already created or started creating a decision window. TheWindow Conditions card should be open. In the Override Conditionsection, the administrator performs the following acts to add overrideconditions to a decision window:

[0754] In the Date text box, the administrator enters the date that hewants to be used to calculate the start date for the override.

[0755] In the Start Delay text box, the administrator enters the numberof days from the current date on which he wants the override to go intoeffect. Enter “0” to apply the override immediately (today).

[0756] In the Start Time text box, the administrator enters the starttime for the override.

[0757] In the Days Open text box, the administrator enters the number ofdays that he wants the override to last.

[0758] In the Time Open text box, the administrator enters theadditional number of hours that he wants the override to last.

[0759] In the Window Conditions card, the administrator clicks the Gobutton. Saves the changes to the decision window and displays theDecision Window List card.

[0760] g. Modifying a Decision Window

[0761] The administrator can edit the definition of an existing decisionwindow. To begin editing a decision window, the administratordouble-clicks the decision window row in the Decision Window List orclicks the decision window row and then click the Modify Decision Windowbutton 2305.

[0762] The operator performs the following acts to modify a decisionwindow:

[0763] If the List Decision Window option is not visible in the leftpane 1305, the administrator double-clicks Decision Window Admin 1350.The Decision Window Admin menu expands.

[0764] The administrator clicks the List Decision Window option. TheDecision Window List 2300 displays in the right pane, as shown in FIG.23.

[0765] The administrator clicks the row that contains the decisionwindow he wants to modify. The row is selected.

[0766] The administrator clicks the Modify Decision Window button 2305.The Decision Window Information card 2400 opens.

[0767] The administrator edits the text boxes that contain the values hewants to change.

[0768] The administrator can click the Window Conditions tab. The WindowConditions card 2500 opens.

[0769] The administrator can then edit the text boxes that contain thevalues he wants to change.

[0770] After modifying the decision window, the administrator clicks the“Go” button 2535. The changes are saved to the decision window.

[0771] h. Decision Window Information Card

[0772] (i) Overview of the Decision Window Information Card

[0773] The Decision Window Information card is where decision windowinformation and conditions are entered and modified. The Decision WindowInformation card is comprised of the Decision Window and WindowConditions cards.

[0774] (ii) Overview of the Decision Window Card The Decision Windowcard is where the administrator enters or views the name, description,and other settings for a decision window. The Decision Window card islocated in the Decision Window Information card. The following tablecontains a description of the fields and options in the Decision Windowcard: TABLE 59 FIELD OR OPTION DESCRIPTION Decision Window Enter adescriptive name for the decision Name Text Box window in the DecisionWindow Name text box. Description Text Box Enter a word or phrase thatdescribes the decision window. Group Down Arrow Click the Group downarrow to view and then select the group that you want the decisionwindow to be applied. Document Type Down Click the Document Type downarrow to Arrow view and then select the document type that will beaffected by the decision window. Decision Allowed Select this option toallow users in the Option selected group to make decisions on items inthe document type. When this option is not selected, decisions cannot bemade for this document type. Specify Decision Select this option toestablish a time limit Window Option for decisions. When this option isnot selected, decisions can be made continuously without any timerestrictions.

[0775] (iii) Overview of the Window Conditions Card

[0776] The Window Conditions card is where the administrator enterscriteria settings for a decision window, and is located in the DecisionWindow Information card. The following table explains the fields andoptions in the Window Conditions card of the Window Conditions section:TABLE 60 FIELD OR OPTION DESCRIPTION Start Delay Text Box Enter thenumber of days forward that the administrator wants the decision windowto go into effect. This number will be added to the date that isdisplayed in the Example Date text box. Enter “0” to have the decisionwindow applied on the same date that appears in the Example Date textbox. Start Time Text Box Enter the exact time that the administratorwants the decision window to start. Click the Start Time down-arrow andthen select AM or PM. Days Open Text Box Enter the total number of24-hour days that the decision window should last. If this time is lessthan 24-hours, enter “0” and then enter the number of hours in the TimeOpen text box. Time Open Text Box Enter the additional number of hoursthat the administrator wants to extend the decision window by. Thesehours are added to the number of days already entered in the Days Opentext box. Example Date Text By default, the current date is displayedBox in this text box. Enter the date that the administrator wants to beused as the base start date for the decision window. Translation of Youcan click the Save Record (e.g., Go) button. Decision Window TheTranslation of Decision Window feature Text Box is provided to assistthe administrator in determining if his window conditions are correct.If he finds that the translation displayed in this text box isincorrect, the administrator will review and then edit the appropriatefields in the Window Condition section.

[0777] The following table explains the fields and options in theOverride Condition Section. TABLE 61 FIELD OR OPTION DESCRIPTION DateText Box Enter the date that the administrator wants to be used tocalculate the start date of the override. Start Delay Text Box Enter thenumber of days forward from the date displayed in the Date text box onwhich the administrator wants the override to go into effect. Enter “0”to have the override take effect on the same date that appears in theDate text box. Start Time Text Box Enter the start time for theoverride. Days Open Text Box Enter the number of days that theadministrator wants the override to last. Time Open Text Box Enter theadditional number of hours that the administrator wants the override tolast.

[0778] E. Repair Graphical User Interface (GUI)

[0779] 1. Introduction to Repair GUI

[0780] a. Overview of Repair GUI

[0781] The functions of the Repair GUI are similar to the MICR Repairand Quality Monitor modules in that Repair GUI helps control the qualityof the Image Capture process by allowing the user to view images as wellas correct MICR field data. The Repair GUI may also be customized tomeet specific needs.

[0782] The Repair GUI has two operating modes: Repair mode and Monitormode. When the user logs into the Repair GUI, the user chooses whetherto use its monitor or repair capabilities. The user enters the Repairmode to correct any scanning errors that corrupted MICR data. The usermay also use it after the image matching (Image Match) process tocorrect free items. The fields that appear in the Repair GUI are definedby a system administrator.

[0783] During Image Capture, the user can enter Monitor mode to displaysamples of the images as they are scanned. If the user spots scanningerrors, the scanner can be adjusted, enabling immediate correction.

[0784] b. Terminology

[0785] In general, UNIX menus refer to databases and cycles, while somePC applications (including Repair GUI) refer to set names and set dates.In general, the following terms are defined as below. TABLE 62 TERMDESCRIPTION Set Name (or just A Database that has been matched (orentered). Set) Set Date The Cycle of the Database that was matched.Database Usually refers to a superset (a container) for database files.In Repair GUI it is the generic name given to a group of cycles, allcontained under the database name. It is analogous to a named directoryor folder, which contains a number of related files. Cycle Refers to adatabase file name, which is based on a date/cycle of document scanning.Generally the cycle is the calendar-based date the scan is run, and isincremented daily. The format varies, but is usually of the formyear-month-day. With this format a scan database run on 3 Jan. 2000 willbe the cycle value 20000103. However, the specifics of the format andvalue will depend on institution's requirements. Free items Are thoseitems that were scanned into the cycle but not listed in the MatchControl File. Match Control Is a database file containing theinformation required File (MCF) to relate a scanned image to the MICRdata for each scanned object. Objects Refers to scanned documents, suchas checks. The term is also applied to the database representation ofthese documents, both image and MICR data. MICR Is the acronymabbreviation for magnetic ink character recognition. Magnetic ink isused for printing on checks and similar documents, thus recordinginformation in a machine-readable format. In the case of checks and someother documents it is often in a form that is also readable to humans.Sometimes the magnetic ink becomes smudged or otherwise damaged and themachine cannot read this information reliably. In these cases the datarepresenting the scanned document (e.g. a check) is recorded (flagged)as in need of repair. A human operator is then called on to determinethe correct information and enter that correct information using RepairGUI's MICR Repair function (Repair). Timeout value Is the number ofseconds that the Repair GUI will wait for a response from the serverbefore it prompts the user for a choice of either canceling an action orcontinuing to wait on its completion.

[0786] c. How Repair Works

[0787] Repair mode is used for correcting any scanning errors detectedby Image Capture or Image Match. The corrections are made to thedatabase index, which is where the data is stored. The database indexcontains the image location, MICR data, and any other data associatedwith the image. Repair is usually performed any time after Image Capturehas detected faulty data or to correct free items remaining after ImageMatch.

[0788] During Image Capture, the scanner scans the items (documents,such as checks) and reads the MICR data. MICR data is the record offield values for a number of variables printed (in magnetic ink) inspecific locations on the original document. Field values may includeaccount numbers, check numbers and related data, depending on specificsof the documents recorded, and the customer requirements. The scanneddigital images and associated MICR data are sent to the UNIX host, whereImage Capture stores the images in an image database and records theimage location and associated field value data in the database index.

[0789] Image Capture passes the data through a series of validations.Validation fails if there is one or more unreadable characters, amissing field, or the number of characters is incorrect. The data mayfail validation because the scanner did not read it correctly.Situations that may result in unreadable data include: a document is fedat an angle into the camera area, labels are incorrectly placed, or theimage has marks or scratches across the MICR data area.

[0790] If any of these situations should occur, it becomes necessary tofix the data contained in the database index file. The index is flaggedfor each image that has a detected problem.

[0791] During repair, each index item needing repair is displayed on theworkstation one at a time. The operator enters the missing or correcteddata. The scanned images themselves are not changed. Instead, the datastored in the database index is corrected.

[0792] 2. Repair GUI/Host System

[0793] a. Starting and Killing the Repair Server

[0794] Before starting a Repair GUT session on the workstation, the usershould first start the repair server. Starting the repair server wasdiscussed earlier. After the user is finished with the Repair GUTsession, the user kills (i.e., stops) the repair server.

[0795] 3. Repair GUI/PC Module

[0796] a. Starting Repair GUT

[0797] The Repair GUT Repair mode can be used anytime after ImageCapture identifies an item with duplicate or unreadable data. If theuser needs to enter data for an empty field or to edit other data thatthe system has not tagged as needing repair, he creates a Repair Setwhile in Monitor mode. From the workstation, the user initiates Repairby performing the acts below:

[0798] Ensure that the PC workstation is powered on, Windows is running,and the repair server is started. The user then starts the Repair GUI.

[0799] Once the Repair GUT application is running, the user logs in. Twologin branches are available at this point: Standard login, whichassumes that the Host, Port number, and Timeout value, are already setand appropriate; and Advanced login, which permits changes to server,including Host, Port number, and/or Timeout value.

[0800] The user chooses a type of login and enters his User Name andPassword. The Repair function is now active.

[0801] From the Main Menu, the user selects a Session/Get Set Namesoption. The Repair List window appears.

[0802] From the Repair List window, the user selects the SetName,SetDate and Batch ID he wishes to repair. The document type of each setis also displayed in this window. In this list the user is permitted tosee only those sets the user group(s) that he belongs to as a Repair GUIuser. The user groups are established by the system administrator.

[0803] After the user has made his selection of SetName, SetDate, andBatch ID, the images and editable data will appear.

[0804] b. Navigating Repair GUI

[0805] The Repair GUI main screen contains the image(s) and the image'srespective associated field data. The user can cycle through the imagesand change field data by use of various image controls. The screenincludes two image windows. The image displayed in the first windowdefaults to the object's front view. The image displayed in the secondimage window defaults to the back view. The user can force the imageback view to appear in the first window, by selecting Options/SwapImage. The user may also specify a third image window.

[0806] The user can also enlarge and shrink the image windows andarrange them as desired by clicking and pulling on the window's borders.Further, the user can also click and drag the mouse to zoom in on aspecific rectangular section of an image.

[0807] The user can browse through the images and further manipulatethem by clicking on image manipulation buttons. The following tableexplains the navigational functions of the various buttons in the imagewindows: TABLE 63 FUNCTIONAL DESCRIPTION BUTTON NAME OF BUTTON FirstItem button Returns to and displays the first image (and associateddata) in the currently selected set, cycle and batch. Previous Itembutton Displays the previous image (and associated data). Next Itembutton Displays the next image (and associated data). Fit current imagein The user clicks this button after he has window button zoomed in andwishes to view the image at normal size again. Rotate Clockwise buttonRotates the current image 90 degrees clockwise. Rotate Counter-clockwiseRotates the current image 90 degrees button counter-clockwise. MirrorHorizontally Mirrors the current image around the button horizontalaxis. Mirror Vertically button Mirrors the current image around thevertical axis.

[0808] c. Creating Shortcuts

[0809] Repair GUI contains two separate types of keyboard shortcuts: OldStyle Shortcuts and Stored Field Values shortcuts. Old Style Shortcutsare shortcuts that are set by the software. Stored Field Value shortcutsare created by the user.

[0810] Stored Field Value shortcuts are useful if the user uses certainfields that consistently contain the same values. Simple keystrokeshortcuts allow the user to enter the field values he sets for eachkeyboard shortcut. For the embodiment described herein, the shortcutsinvolves pressing the <CTRL> key and a single-digit number. Forinstance, the user can define a stored field value so that when he hits<CTRL>+1, the field is filled with the pre-set Value.

[0811] To define Stored Field Value shortcuts, the user performs thefollowing acts:

[0812] From the main menu, the user selects an Edit Stored Field Valuesoption. The Stored Field Values dialog box appears.

[0813] In a Field column, the user enters a field number (1 through 0)to be associated with the keyboard shortcut. Field numbers correspond tothe order the fields are listed on-screen. Therefore, if the user isattempting to set up a shortcut for the Account field, and this is thefirst field listed on-screen, then he would put a 1 in the Field columnnext to whatever shortcut he likes. It is reconunended that the useruses <CTRL>+1 for the first field, <CTRL>+2 for the second field, etc.The zero in the Field column indicates the 10th field.

[0814] In the Value column on the right, the user enters the values hewishes to insert when he hits the respective shortcut keys. The valuesmay contain numbers or letters and should be as long as the field inwhich they are going to be inserted.

[0815] The administrator clicks “OK” to accept the shortcuts, or clicks“Cancel” to reject them. These shortcut values are saved by the RepairGUI and remain until they are changed.

[0816] d. Repairing Items

[0817] After the user selects the repair set, he can resize the image bydragging the borders of the window. The user can also resize the Fieldswindow so that the fields are more visible.

[0818] For each image, the user examines the field data in theinformation line and edit that data as needed. The user may definespecial characters that appear in place of unclear and missingcharacters using the parameters file that is associated with eachdatabase. For instance, the user might use an “!” to appear in place ofunclear characters and an “M” in place of missing characters.

[0819] The user clicks the Update button to save changes and move to thenext item. If the user is uncertain whether the item needs updating, theuser can click “Skip” to move the current item to the end of the file.If an item does NOT need updating, the user clicks Update without makingchanges, so the item does not reappear.

[0820] If certain fields have been defined as “Mandatory”, the user willnot be able to proceed if a Mandatory field contains no data. If theuser clicks Update, the user will receive a warning message. (e.g.,“This operation will permanently remove this item. Continue? You will beunable to proceed to the next item until you select either Yes or No.”)

[0821] The Fields window's title bar lists the errors contained in thecurrent batch. When the user clicks the Update button, this numberdecreases.

[0822] When there is no longer a number in the title bar of the Fieldswindow, the current batch has been totally repaired. Additionally, noimages will appear on-screen.

[0823] e. Deleting Items

[0824] To delete the current image, along with its accompanying data,the user clicks the Delete button. Since this will permanently deletethe item from the database, a confirmation request message appears. Theitem is removed from the database when the user confirms the request.

[0825] f. Customizing Repair GUI

[0826] Within repair GUI, the user has options to customize theapplication. These are available from the Options menu. These optionsare available for both Repair and Monitor modes. The following is a listof available options: TABLE 64 OPTION DESCRIPTION ♯L♭ogin on StartupAutomatically causes the Login window to appear after the user launchesthe application. Saves the extra step of clicking the Login button.♯G♭et Sessions Automatically causes the Repair List window to AfterLogin display after the user logs in, so he can immediately choose a SetName, Date and Batch. ♯C♭onfirm This will cause a dialogue box toappear, Disconnect on to confirm that the user wants to exit Exit theprogram. Auto Get♯F♭irst on If this option is selected, the first imageis GetSession automatically displayed after a set has been selected. Ifthis option is not selected, when a new cycle is selected any imageon-screen from the previous cycle will remain on the screen until theFirst Item button is clicked. One Step Cycle Main Menu/Option/One StepCycle Selection is a Selection useful tool when the user has many cyclesand databases on the system. If the One Step Cycle Selection isselected, then all database names, cycles, and batch id's are displayedat once. If One Step Cycle Selection is not selected, then only thedatabase names are listed. Select the database, and then all the cyclesfor that database will be displayed. Next, select a cycle, and all thebatch id's display. Finally, select the batch id the user wants.

[0827] For the embodiment described herein, these preferences areautomatically saved to the registry so that next time you run theapplication they will be loaded.

[0828] g. Available Options

[0829] The following table describes various options available in RepairGUI. TABLE 65 MENU SELECTION/ BUTTON DESCRIPTION Session or Login Log into Repair GUI in either Repair or Monitor Button mode. Session or SelectSelect the Set Name, Date and Batch of images Repair Set Button the userwishes to repair or monitor. Session or Logout Logs out of the currentmode. Button Session/Exit Exits Repair GUI. Options/Login onAutomatically causes the Login window to appear Startup after you launchthe application. Saves the user the extra step of clicking the Loginbutton. Options/Get Sessions Automatically causes the Repair List windowto After Login display after you login, so the user can immediatelychoose a Set, Name, Date and Batch. Options/Confirm This causes adialogue box to appear confirming Disconnect on Exit that the user wantsto exit the program. Options/Reset Window If the images begin to displayimproperly because Positions of re-sizing of windows, select this optionto correct the problem. Options or Set Timer Set the delay before imageupdates in seconds. Button Options/Swap Images Swaps back and front ofimage in the current view. Options/Auto GetFirst If this option isselected, the first image is on GetSession automatically displayed aftera set has been selected. Options/Advanced/ Marks a subset of items forrepair. When this Create Repair Set option is selected, the user canspecify a search criterion that will mark the appropriate fields forrepair. Options/Advanced/ Deselects the items marked by Create RepairSet. Delete Repair Set Options/Advanced/ Enables the user to definegroups of fields that Class Groups appear in the Repair GUI. Options orDelete Deletes image and data currently on-screen. Button Options/EditStored Allow the user to create shortcuts for fields that Field Valuesrepeatedly have the same data. Options/Enable Old When this is checked,the user can use <Page Style Shortcuts Down> to fill all the viewablefields with nines, or use <Page Up> to blank out the current field.First Image Button First Image Button. Displays first image andassociated data in database. Last Image Button Displays last image andassociated data in database. Previous Image Button Displays previousimage and associated data in database. Next Image Button Displays nextimage and associated data in database. Scale to Fit Button Fits image incurrent window. Used to display image at normal size after zooming in onimage. Rotate Clockwise Rotates image 90 degrees clockwise. ButtonRotate Counter- Rotates image 90 degrees counter-clockwise. clockwiseButton Mirror Horizontally Mirrors the current image around thehorizontal Button axis. Mirror Vertically Mirrors the current imagearound the vertical Button axis. Update Button Click after correctingfield data. Skip Button If field data is OK, click to skip to the nextimage in database.

[0830] 4. Monitor Mode

[0831] a. Overview of Monitor Mode

[0832] Repair GUI's Monitor mode is used in conjunction with theUNIX-based Image Capture program to monitor the documents scanned intodatabase files. This option helps to ensure the accuracy of the data.The user can compare the data recorded from the scanning operation tothe data on the associated image. By doing spot checks the user candetect scanning errors or burned out scanner light bulbs, and reset thescanner if necessary.

[0833] There are two ways to use the monitor capability: while the itemsare being scanned and after items have been scanned into a database. TheRepair GUI should not be started until after capture has begun. This isbecause the capture process creates the Batch ID that the Repair GUIneeds in order to retrieve the images.

[0834] b. Initiating Image Capture

[0835] The operator performs the following acts to initiate ImageCapture:

[0836] At the UNIX host system, from the Capture/Browse Images Menu, theuser starts Image Capture. The user enters a database/cycle name for thegroup of images to be scanned.

[0837] At the PC workstation, the user selects the Repair GUIapplication.

[0838] Once Repair GUI is running, the user clicks the Login button. TheLogin window appears.

[0839] The user then enters the User Name and Password, and selectsMonitor Mode. If the user wishes to change the server, he clicks theAdvanced button and specify the Host, Port Number and the Timeout value.

[0840] The user clicks “OK” to finish the login.

[0841] At the main window, the user clicks the Select Repair Set buttonor select Session/Get Set Names. The Repair List window appears.

[0842] Highlight the SetName, SetDate and Batch to work with. This willbe the same name as chosen in step 2 for the database cycle name.

[0843] The user clicks Select to continue and start the scanningoperation.

[0844] The user views selected document images. During Image Capture, toview the images on the PC as they are scanned, the user clicks theRepair GUI buttons to change images as described above. The user canalso set the timer to automatically update the images for spot checkingimage quality. The Repair GUI monitor then displays a sampling of theimages after they are added to the database.

[0845] When the user has finished viewing images, he selectsSession/Exit.

[0846] c. Setting the Timer

[0847] The Monitor mode timer can be set to display a new scanned imageat intervals (integer seconds) controlled by the user. To set the timer,the user should already have selected a SetName, SetDate and Batchrepair set. If the timer is set when the scanner is not running, thenthe same image will be refreshed, over and over as long as the buttonremains active.

[0848] d. Reviewing Previously Scanned Documents

[0849] The process is the same as for reviewing scanning images(Initiating Image Capture) except there is no need to start the scanner.Additionally, there is no need to set the timer since all the imageshave already been scanned. The user can use the navigation buttons toview the images.

[0850] In one embodiment, the Field portion of the screen is“greyed-out” when in Monitor mode (instead of having a “whitebackground” as during Repair mode). This is to prevent the user fromediting fields in Monitor Mode. Instead, the user is simply viewing theimages and their associated data. If there is a need to edit field data,the user uses the Repair mode.

[0851] 5. Repair Sets

[0852] a. Overview of Repair Sets

[0853] For the system described herein, there are two methods availablefor updating field data: Batch Update (discussed earlier), and RepairGUI. Repair GUI allows the user to create repair sets. Repair sets letthe user mark a subset of items in a cycle for repair. The user createsthe repair sets while in Monitor mode, but the repair sets the usercreates are accessed and modified in Repair mode.

[0854] The repair set process works in much the same way as a queryfilter. The user may want to repair only images that have amountsbetween $100 and $500, for instance, or to repair images that have onlya particular serial number (or series of serial numbers). If an item ina cycle fits the criteria defined for the repair set, it is “tagged” ashaving an error. The user can delete the repair set later, andsubsequently “un-tag” the items.

[0855] b. Creating Repair Sets

[0856] The user performs the following acts to create a Repair Set:

[0857] The user logs into Monitor Mode and clicks on the Select RepairSet button to open the Repair List window.

[0858] The user clicks on a Set Name.

[0859] The user selects the Repair Set option to mark a subset of itemsfor repair (thus creating a repair set). A Repair Items Criteria windowappears, which displays a vertical column list of fields that are openfor repair. The user can use that list of fields to filter the items tobe repaired. The list contains three columns from left to right: Field,Operator, and Value.

[0860] To create a selection criteria expression for a repair set, theuser double-clicks on one of the field names in the Field column. Awindow for that field appears to allow the user to create an item filterexpression for the field.

[0861] The user selects an operator to use to filter items.

[0862] The user types a value into the blank box that appears to theright of the Operator selection buttons.

[0863] Operator definitions are provided below. TABLE 66 OPERATORDEFINITION = equal to != not equal to < less than > greater than =< lessthan or equal to >= greater than or equal to

[0864] If the user selects equal to (=) or not equal to (!=), a Rangecheck box will appear, for specifying a range of values. To specify arange for the field, click the Range check box. The window is thenenhanced with a pair of data entry windows, so the user can enter theminimum and maximum values in the spaces provided. For convenience, inthe window space below the range values, the Amount window will displayany previously entered ranges from which the user may select.

[0865] For example, if the user needs to create a repair set thatincludes all capture dates between January 1 and January 15 of the year2000. In this example, the user selects the Operator=(equals) and clicksthe Range check box that appears. When the user clicks the Range box,two unlabeled data entry windows will also appear. In the left dataentry window the user enters 0000000020000101 (year 2000, 1^(st) month,1^(st) day). In the right data entry window the user enters0000000020000115 (year 2000, 1^(st) month, 15^(th) day).

[0866] The user clicks OK to return to the Repair Items Criteria window.Repeat the procedure for any other available fields, as needed.

[0867] When finished, the user clicks “OK”. Clicking “OK” starts theprocess that marks the applicable items for repair.

[0868] 6. Class Groups

[0869] a. Overview of Class Groups

[0870] The Class Groups option enables the user to define the fieldsthat appear for each document or image class in the system.

[0871] The user may classify fields as: TABLE 67 FIELDS DESCRIPTIONMandatory The field must be filled and may not be left empty. OptionalThe field is available for edit, but the field may be left empty. ReadOnly Editing of the field is not permitted, but it may be viewed.

[0872] Each user that is allowed to perform repairs must be assignedpermission to do so through the use of class groups. The systemadministrator defines class group fields that certain user groups mayview via the assigned class groups. The user can add and delete classgroups. Inadequate class groups cannot be modified, only deleted andrecreated (added).

[0873] b. Adding Class Groups

[0874] To give a user group permission to repair a class, the userperforms the following acts:

[0875] From the main menu, the user selects the Class Groups option. AClasses window appears, listing all the classes defined in the database.

[0876] On the folder tree that appears, the user clicks on the “+” nextto Classes to open the Classes folder. Locate under each specific classare the Fields for that class and any class Groups that have alreadybeen created. The user clicks a “+” or “−” to expand and contract thetree as needed. The defined Class Groups are listed under the Groupsfolder for each class. Each user group that can repair that documentclass is listed in the Groups folder. The Fields folder lists the fieldsthat can be viewed for repair via Repair GUI.

[0877] To add a new group to a class, the user highlights the desiredclass and clicks the Add Group button. The Add Group for class xxxxwindow appears. Only the user groups that the user (as the Repair GUIuser) are a member of will be listed in the User Group list box. If theuser has something other than a class highlighted, he will receive anerror message stating “You must select a class in order to add a group.”

[0878] In the Description field, the user enters a description of theclass group that will appear in the tree under Groups.

[0879] The user uses the User Group list box to select the desired UserGroup.

[0880] For each category (e.g., Optional Editable Group Fields,Mandatory Editable Group Fields or Read Only Group Fields), the userselects the fields to be included by highlighting them in the ClassFields column and clicking the Add Fields button, to transfer them tothe appropriate Group Fields column. If the user changes his mind abouta field, the user clicks the Remove Fields button to transfer unwantedfields from the applicable Group Fields column back to the Class Fieldscolumn.

[0881] When finished, the user clicks “OK”.

[0882] F. Reconciliation

[0883] 1. Overview of Reconciliation

[0884] Reconciliation provides for manual batch reconciliation of FreeItems and matching Missing Items into the archive.

[0885] Free Items are images scanned during the capture process that thesystem is unable to match with any item from the Match Control File(MCF). The client site provides MCFs. The MCF is used to enable thesystem to link images and Magnetic Ink Character Recognition (MICR) dataread from the images to the respective object's data that is stored inthe MCF. The MCF theoretically should contain the correct informationfor every object captured.

[0886] Missing items are those items identified in the client-suppliedMatch Control File (MCF) that do not have identified object images (andMICR data) with which they can be matched. This usually occurs becausethe images captured have faulty MICR fields that the system could notread, or the matching image objects were not scanned in.

[0887] In one embodiment, reconciliation runs on the client using JavaRuntime Environment (JRE), Java Advanced Imaging (JAI), and CORBA. Otherenvironments are possible.

[0888] Reconciliation displays each Free Item, along with the mostlikely missing items from the Match Control File (MCF) for that batch.When a user chooses (and confirms) the Match Control File row that isappropriate for a free item, the data for the Free Item is modified toequal that Match Control File data. The application then marks thatimage as Matched and that image is immediately available for queryingand other archive functions, such as export and statement print. Inorder for the Missing Item Report, Free Item Report, and MatchStatistics to be updated, the user must also select the “Update MatchReports” option from the UNIX Match Menu.

[0889] 2. Logging In

[0890] The user performs the following acts to login in theReconciliation application:

[0891] The user launches the Reconciliation application. The Loginscreen displays.

[0892] The user types their user name and password. If theReconciliation program capability has been assigned to the user name,then the user will be logged into Reconciliation successfully. The BatchSelection window displays.

[0893] 3. Batch Selection Window

[0894] The Batch Selection window 2600 (FIG. 26) provides access tothree levels of nested folders. This is a hierarchical window, where theuser can expand and contract the tree structure. A Database Iconcontains one or more Cycle Icons, each of which contains one or moreBatch Icons.

[0895] The user double clicks a Database Icon 2605 to display itsavailable cycles. The user double clicks a Cycle Icon 2610 to displayits available batches. The user double clicks a Batch Icon to reconcilethat batch.

[0896] The information in parenthesis, located to the right of the batchID number 2615 (0000 in the example in FIG. 26), indicates the number offree items and missing items contained in that batch.

[0897] 4. View Image Window

[0898] The View Image window 2700 (FIG. 27) provides four main areas ofinformation: TABLE 68 AREA DESCRIPTION Free and Missing Indicates thenumber of free items that are Items Remaining remaining in the batchbeing reconciled, while Area (2705) reminding the user which databaseand cycle he is working in. Images (2710) Provides front and back viewsof the document being reconciled. Magnification of the image withinfront and back windows is available by clicking on the image anddragging. Magnification controls are available in the right click menu,under Options. Free Item MICR Shows the MICR information at scan/capturetime Information (2715) for the document, while the questionable item(in this case ‘Serial’) is displayed on a background. Missing ItemsProvides a list of the missing items that are nearest Table (2725)matches to the doubtful value contained in the Free Item MICRInformation line. Window Adjustment The View Image window also containstwo sets of (2725) image window adjustments. Clicking and draggingsideways on the border between the two images enlarges one image whilereducing the other. Clicking on the border under both images anddragging it up or down allows the user to increase or decrease thevertical size of both images.

[0899] Clicking one of the arrows results in extreme movement of theimage border in the direction of the arrow clicked. For example, if inthe image above the user clicks the window adjustment arrow that pointsto the right, the border will move to the right edge of the applicationwindow, enlarging the front view of the check, while the back of thecheck will be hidden. To view only the back of the check, the user wouldclick the left-pointing arrow.

[0900] Matching, deleting, skipping, options, and other controls areavailable through a “right click” menu. “Right click” anywhere on thescreen to access this menu.

[0901] 5. Options Dialog Window

[0902] An Options Dialog window is accessed by either “right clicking”on the View Image window. The Options Dialog window is made up of threetabs that allows the user to adjust the following qualities: TABLE 69QUALITY DESCRIPTION Font Used for setting Font type, size, and style forfonts used in the Reconciliation application's View Image window. Thisgroup of controls also includes a font preview window. Magnifying GlassUsed for setting the height and width of the magnifying glass, and themagnifier's magnification level. This group of controls also includes apreview window. Image Check boxes are used for independently settingwhether each front or back image displayed is displayed in a ‘fit towindow’ format (which can produce stretched images), or ‘real view’format, which may show only a portion of the image at a time.

[0903] 6. Setting Font Options

[0904] The user performs the following acts to set the font options.

[0905] From the View Image window, the user “right clicks” his mouseanywhere on the View Image window. The Options Dialog window 2800displays (FIG. 28).

[0906] In the Name selection box 2805, the user selects a font name. Theresult is shown in the Preview box 2810 at the top.

[0907] The user clicks and drags the Size slider 2815 to change the fontsize. The result is shown in the Preview box 2810.

[0908] In the Style selection box 2820, the user selects a style for thefont. The result is shown in the Preview box 2810.

[0909] The user then clicks the “OK” button 2825 when the font Name,Size and Style is properly set. The Options Dialog window 2800 closes,and the View Image window 2700 now is displayed using the font Name,Size and Style chosen.

[0910] 7. Setting Magnifying Glass Options

[0911] The user performs the following acts to set the magnifying glassoptions:

[0912] From the View Image window the user “right clicks” his mouseanywhere on the View Image window 2700. The Options Dialog window 2800displays.

[0913] The user clicks the Magnifying Glass tab. The Magnifying Glasstab fully displays 2900 (FIG. 29).

[0914] The user “clicks and drags” the Height slider 2905 to themagnification to use. The result is shown in the Preview box 2910 at thecenter.

[0915] The user “clicks and drags” the Width slider 2915 to the width ofthe magnifying glass to use. The result is shown in the Preview box 2910at the center.

[0916] The user “clicks and drags” the Magnification Factor slider 2920to the magnification level to use. The result is shown in the Previewbox 2910 at the center.

[0917] The user then clicks the “OK” button 2925 when the font Height,Width and Magnification Factor is properly set. The Options Dialogwindow closes, and the magnifying glass now uses the height, width andmagnification chosen.

[0918] 8. Setting Image Controls

[0919] The user performs the following acts to set the image controls:

[0920] From the View Image window the user “right clicks” his mouseanywhere on the View Image window 2700. The Options Dialog window 2800displays.

[0921] The user clicks the Image tab near the top. The Image tab 3000(FIG. 30) fully displays.

[0922] The user clicks the Front checkbox 3005 to enable or disable Fitto Window Front Image.

[0923] The user clicks the Back checkbox 3010 to enable or disable Fitto Window Back Image.

[0924] The user clicks the “OK” button 3015 when the image options areset. The Options Dialog window 2800 closes, and the images are displayedwith the settings you have chosen.

[0925] 9. Matching Items

[0926] The user performs the following acts to match items:

[0927] The user launches the Reconciliation application. The Loginwindow displays.

[0928] The user types in their user name and password, and presses theEnter key. The Batch Selection window 2600 displays.

[0929] The user clicks in the folder structure to select a singledatabase name/cycle/batch. The Batch ID is highlighted, and shows thenumber of Free Items and Missing Items in that batch that needreconciling.

[0930] The user presses enter. The View Image window 2700 displays thefirst free item in the selected batch, and a list of entries in the MCFthat most likely correspond to the free item. The field data that doesnot match the MCF entry is displayed in pink. Of course, a differentcolor can be used.

[0931] The user uses the cursor (arrow) keys to scroll through theMissing Items Table 2720 until he has highlighted an entry that matchesthe image. As each entry is highlighted, any free item field data thatdoes not match the selected MCF entry is highlighted in pink.

[0932] The user presses Enter and selects “match” from a popup menu.This will force a match between the selected MCF data and the free itemimage. A Match Configuration Dialog box displays for confirmation.

[0933] The user selects “yes” or “no”. If the user selects “Yes,” thenext free item displays in the View Image window. If the user selects“No,” the display returns to the same Image window without having savedany changes.

[0934] If the user wants to skip the next image without matching, theuser “right clicks” on the screen, and clicks Skip.

[0935] When finished reconciling, the user closes the application.

[0936] 10. Deleting Free Items

[0937] The user performs the following acts to delete free items.

[0938] In the View Image window, the user “right clicks” anywhere on thescreen. A Right Click menu displays 3100 (FIG. 31).

[0939] The user selects Delete. The Delete Confirmation Dialog boxdisplays.

[0940] The user confirms his request.

[0941] G. NetQuery

[0942] 1. Introduction to NetQuery

[0943] a. Overview of the NetQuery Program

[0944] NetQuery is a Web-based program that allows a user to query andview document information and images in a Web browser, such as InternetExplorer or Netscape Navigator. The client side of the application usesJava Applets that is embedded in HTML. By entering the address of theEIMA system Web site in the Address bar of the Web browser, the user isable to log on to the Web site and then start NetQuery.

[0945] There are three main screens that make up the NetQuery applet:Query screen, Result screen, and Image screen. Queries are created inthe Query screen, query results are displayed in the Result screen, andquery documents are displayed in the Image screen.

[0946] b. System Requirements

[0947] Table 70 lists the hardware and software requirements for oneembodiment of a workstation 115 utilizing NetQuery. TABLE 70 COMPONENTRECOMMENDATION Processor 400 Mhz Pentium II Minimum Hard Drive Space6-10 MB of free hard disk space Recommended RAM 128 MB Operating systemsWindows NT, Windows 95 and 98, Unix, Linux Screen Resolution 800 × 600pixels. For instructions on changing your screen resolution, seeChanging Your Screen Resolution. Colors Over 256 Web Browser InternetExplorer 5.5 or Netscape Navigator 4.08 Plug-ins Java ™ 2 RuntimeEnvironment, Standard Edition including the Java ™ Plug-in download. Formore information about this plug-in, please read Overview of the JavaPlug-in.

[0948] c. Using NetQuery for the First Time

[0949] The operator should log on to the EIMA system Web page beforelaunching NetQuery. After the operator's login information has beenauthenticated, the operator has access to NetQuery and other programsthat they have permission to use.

[0950] To log on to the EIMA Web site, the operator performs thefollowing acts:

[0951] Open the Web browser at the client, and navigate to the Loginpage of the EIMA system. The EIMA system Login page is displayed in theWeb browser.

[0952] At the Login screen, the user enters a user name and a user ID.Assuming the user is a valid user, the Java Plugin is downloaded andinstalled at the client and then the EIMA system home page 3200 isdisplayed in the Web browser as shown in FIG. 32.

[0953] On the Main Menu, the user selects the Query tab 3205. TheNetQuery hyperlink is loaded in the left pane 3210 of your Web browserfor access by the user.

[0954] To end a session, the user can log out by clicking Logout 3215 onthe menu panel. Logging out returns the user to the Login page.

[0955] d. Overview of the Java Plug-in

[0956] To run NetQuery, the Java Plug-in should be installed at theclient. The Java Plug-in is part of the Java 2 Runtime Environment,Standard Edition download. The Java Plug-in is an accessory program thatallows the client to run Java applets and JavaBeans components inInternet Explorer or Netscape Navigator.

[0957] 2. Query Screen

[0958] a. Overview of Queries

[0959] A query is a request for document items in a particular databasecycle. Queries are defined and executed from the Query screen. Toretrieve specific document records, the user must set criteria for thequery. Criteria is a set of limiting conditions that retrieves aspecific set of records. The user can construct a simple or advancedquery in the Query screen. A simple query allows the user to search fordocuments using a comparison operator. An advanced query allows the userto search for documents using both comparison and logical operators. Theuser can also set criteria on the same field multiple times. When theuser executes a query, the query request is sent to the server. Theserver searches for records in the specified database(s) and thenreturns only those records that meet the criteria. Query results aredisplayed in the Results screen.

[0960] By default, the Query screen does not contain any information.The user creates the query by performing the following acts:

[0961] Selecting the document type for the query.

[0962] Selecting the database or databases.

[0963] Changing the default date range.

[0964] Typing query criteria in the Query Definition Grid.

[0965] Executing the query.

[0966] b. Overview of the Query Screen

[0967] The Query screen 3300 (FIG. 33) opens after the user launchesNetQuery from the main menu (FIG. 32). The user creates, saves, opens,and executes queries from the Query screen. In this screen, the user canalso print a copy of the current settings, access help about theprogram, and navigate to other query sets.

[0968] The upper portion 3305 of the Query screen is where the userselects the document type, database, and date range for a query. Thelower portion of the Query screen contains the Query Definition Grid3310. Of course, different arrangements are possible.

[0969] Table 71 provides a description of the buttons in the Queryscreen. TABLE 71 NAME DESCRIPTION Open Query Button Opens an existingquery file. Save Query Saves a query. Definition Button Advanced QueryChanges the Query screen to Advanced Mode. Style Button Simple QueryStyle Changes the Query screen to Simple Mode. Button Print ButtonPrints a copy of the current settings in the Query screen. The followingfields are printed: name, query date range; query style; document type;all fields in the Query Definition Grid; and the assigned databases.Reset Button Returns the default settings to all the fields in the Queryscreen. Clicking the Reset button clears your selections and criteriaentries. Help Button Opens a second browser window that containsinformation about NetQuery. Add Button Moves the selected database(s)from the Available Databases list box to the Selected Databases listbox. Databases in the Selected Databases list box will be queried. AddAll Button Moves all databases in the Available Databases list box tothe Selected Databases list box. Databases in the Selected Databaseslist box will be queried. Remove Button Moves the selected database ordatabases from the Selected Databases list box to the Available listbox. Databases in the Available list box will not be queried. Remove AllButton Moves all databases from the Selected Databases list box to theAvailable Databases list box. Databases in the Available list box willnot be queried. Calendar Button Opens a calendar where you can select adate. This button is located next to the From Date and To Date fields.New Query Button Creates a new query set. Clicking this button opens anew Query screen. Close Current Closes the current Query screen withoutDisplay Button saving the query. This button appears greyed out whenthere is only one query set open. Go Button Executes the current queryand retrieves query results. The keyboard shortcut for this button isALT+G. Save Image Button Saves currently displayed image to your localhard drive as a GIF-formatted image file. A Save Image dialog box willbe displayed that permits you to select the location for the GIF file.

[0970] These buttons or options are used to navigate between query sets.TABLE 72 NAME DESCRIPTION View Query Screen Button Switches to the Queryscreen from the Result or Image screen. View Result Screen ButtonSwitches to the Result screen from the Query or Image screen. View ImageScreen Button Switches to the Image screen from the Query or Resultscreen.

[0971] c. Overview of the Query Definition Grid

[0972] The Query Definition Grid 3310 is where the user establishessearch criteria for a query. For the embodiment shown, the grid islocated below the From Date and To Date text boxes in the Query screen.Each row in the Query Definition Grid contains a query field where theuser can set up your search criteria. The Query Definition Grid containsthe following columns: TABLE 73 COLUMN DESCRIPTION FieldName Containsfields that can be queried Operators Contains a drop-down list ofcomparison operators Value1 and Value2 Contains search values

[0973] When the Query screen is in Advanced mode, an “Op” column appearsin the Query Definition Grid. The “Op” column contains a drop-down listof logical operators. The user can set criteria on any field in theQuery Definition Grid. Search criteria is set by selecting a comparisonoperator from the “Op” or Operators columns and then typing a searchvalue in the Value1 and Value2 fields.

[0974] d. Overview of Comparison Operators

[0975] The user selects a comparison operator in the Query DefinitionGrid 3310. A comparison operator compares two values and then returns aquery result that is based on the outcome of the comparison. Thefollowing operators are available from the Operators column in the QueryDefinition Grid: TABLE 74 OPERATOR DESCRIPTION Equal Retrieves recordsthat contain an exact value in the current field. Greater Than Retrievesrecords that are greater than a certain value in the current field. LessThan Retrieves records that contain less than a certain value in thecurrent field. Greater Than or Equal Retrieves records that containvalues that are greater than or equal to a certain value in the currentfield. Less Than or Equal Retrieves records that contain values that areless than or equal to a certain value in the current field. Not EqualRetrieves records that do not equal a specified value for the currentfield. Like Retrieves records that contain a string of values in thecurrent field. For example, to locate all documents that contain the“Mc” prefix in the Account Name field, use the Like operator to searchfor these records by typing Mc in the Value1 cell. Between Retrievesrecords that contain values falling between a range of values in acertain field. When the Between operator is selected, the user needs totype a second value for the row in the Value2 cell. The Value2 field isonly active when the Between operator is selected.

[0976] e. Changing the Mode of the Query Screen

[0977] The operator can switch the Query screen between Simple mode andAdvanced mode. Simple mode is used to create basic queries and is theQuery screen's default setting. Advanced mode is used to create complexqueries that contain logical statements.

[0978] f. Creating a Basic Query

[0979] The user performs the following acts to define and then execute abasic query:

[0980] At the Query screen 3300, the user clicks the Document Typedown-arrow 3315, and selects a document type. The availability ofdocument types and databases are based on the user permission settings.

[0981] In the Available Databases list box 3320, the user activates(e.g., click on with the pointer) the database that query is performedwithin, and then the database is added to the Assigned Databases listbox. The user can select multiple databases.

[0982] To set a beginning or from date, the user clicks on the calendarbutton 3325 next to the From Date text box. A calendar then opens as aJava applet. The user then clicks a day on the calendar. The calendarcloses and the date is inserted into the From Date text box.

[0983] To set an ending or to date, the user clicks the calendar buttonnext to the To Date text box, and then clicks a day on the calendar.Alternatively, the user can also type the beginning and ending datesdirectly into the From Date and To Date text boxes. If the user does notselect or type a date range, NetQuery will query all available dates inthe selected databases.

[0984] Next, the user clicks the Equal cell next to the query field forwhich he wants to set criteria. By default, the Equal operator isassigned to all fields. The user selects a comparison operator from thedrop-down list.

[0985] The user then clicks the query field's Value1 cell and then typesan appropriate value. The user confirms the entry (e.g., by pressingEnter).

[0986] If needed, the user clicks in the query field's Value2 cell andthen types a second value.

[0987] After the user is finished setting criteria, he clicks the “Go”button 3330. The host executes the query and, then, opens and closes aStatus message box, and displays the query results in the Resultsscreen.

[0988] g. Querying Multiple Databases

[0989] The user can query several databases at the same time. In oneembodiment, only databases that contain the currently selected documenttype are displayed in the Available Databases list box.

[0990] h. Saving a Query

[0991] Once the user has defined a query in the Query screen, the usercan save the query settings to a file. Saving a query to a file enablesthe user to reuse the query definition in future queries.

[0992] i. Deleting a Query

[0993] The user can delete existing queries that have been saved under agroup of which he is a member. Queries are deleted from an Open QueryDefinition dialog box.

[0994] j. Opening an Existing Query

[0995] The user can open an existing query file and then execute ormodify the query as needed. Query file availability is based on groupmembership.

[0996] The user performs the following acts to open an existing queryfile in the Query screen:

[0997] First, the user clicks the Open Query button 3335. The Open QueryDefinition Dialog box 3400 opens as shown in FIG. 34.

[0998] The user clicks the Group down-arrow 3405. A drop-down list ofgroups opens.

[0999] The user then selects a group name. The group's queries aredisplayed in the Available Files list box 3410.

[1000] Next, the user clicks a query file in the Available Files listbox 3410.

[1001] In the Open Query Definition dialog box, the user clicks the “Go”button 3415. The query definition opens in the Query screen.

[1002] k. Printing a Query Definition

[1003] The user can print a copy of the current settings in the Queryscreen. In one embodiment, the following fields are printed: name of thequery file, query mode-advanced or simple, document type, selected querydatabases, and the query's date range.

[1004] The user can adjust the print setup including the orientation(e.g., print images in portrait or landscape), set the margins, set theresolution, and set the text properties (font, size, etc.).

[1005] l. Overview of Advanced Queries

[1006] An advanced query is a request that contains one or more logicaloperators in its search criteria. The user can set search criteria onthe same field multiple times in an advanced query. When the Queryscreen is set to Advanced mode, the Op column is available in the QueryDefinition Grid. Clicking a cell in the Op column opens a drop-down listof logical operators.

[1007] The user can select the following logical operators for anadvanced query: TABLE 75 OPERATOR DESCRIPTION OR operator Use the ORoperator to test if one or another argument is true and then return anymatching records that contain either arguments. AND operator Use the ANDoperator to test if all arguments are true and then receive matchingrecords that contain the argument. NOT operator Use the NOT operator toexclude an argument from your query results and then receive only thoserecords that do not contain the argument. Parenthesis ( ) Useparenthesis to enclose a logical statement in an advanced query.Parentheses affect the order that statements in the Query Grid areexecuted.

[1008] m. Examples of Advanced Queries

[1009] FIGS. 35 shows an advanced query that uses the OR logicaloperator and the AND logical operator to search for records. FIG. 36shows an advanced query that contains four conditions which use the ORlogical operator. FIG. 37 shows an advanced query that contains the ANDlogical operator and uses parenthesis to enclose three OR statements.

[1010] n. Creating an Advanced Query

[1011] The user performs the following acts to define and then executean advanced query:

[1012] If the logical operators column is not visible in the QueryDefinition Grid, the user clicks the Advanced mode button 3340. TheQuery screen switches to Advanced mode.

[1013] At the Query screen, the user selects or types the appropriateoptions from the following fields as needed: document type, availabledatabases, and From Date and To Date (all of which were discussedabove).

[1014] In the Query Definition Grid, the user locates the field that hewants to set criteria for. The user clicks in the Operators column andselects a comparison operator.

[1015] Next, in the Valuel cell, the user enters a search value. If theuser selects the Between operator in step 3, the user enters a secondvalue in the Value2 cell. The search criteria for the field is typedinto the first row of the Query Definition Grid. This sets the searchcriteria for the first field.

[1016] The user can repeat the above step for additional searchcriteria. Upon entering the desired criteria, the user can click the Gobutton. The query is executed and then the query results are displayedin the Results screen.

[1017] 3. Navigating Between Query Sets

[1018] a. Overview of Query Sets

[1019] A query set is inclusive of the Query, Result, and Image screensand contains the following information: query definition, result set,and image set. The user can have multiple query sets open in the samesession. With reference to FIG. 38, the Query Set text box 3800 displaysthe number of the open query set, as well as the total number of querysets. The navigational buttons 3805 to the right and left of the QuerySet text box allows the user to move between query sets. The Query Settext box 3800 and navigational buttons 3805 are located in the Query,Result, and Image screens. For example, if there are three query setsopen, and the second query set is active, the Query Set text box 3800displays “2 of 3.”

[1020] 4. Result Screen

[1021] a. Overview of Query Results

[1022] Query results are the matching document records returned by aquery. When the user executes a query, any records that match the searchcriteria of the query are displayed in the Result screen 3900 (FIG. 39).In the Result screen 3900, query results are organized into rows. Thecolumn labels at the top of each column identify the column data. Eachrow represents a record in the query results set and each row containsfield data.

[1023] The user can perform the following actions on query results: tagitems for viewing and print tagged items. The Tag column 3905 is used toselect an item for viewing or printing. Query results are not returnedin the following situations: there is no database selected, the userdoes not have permissions to query items in the selected date range, orthere are no items that match the search criteria.

[1024] The user can perform the following tasks in the Results screen:view items in the results set, tag items, sort the results set, retrieveitem images, navigate between query results sets, and print items.

[1025] b. Overview of Query Result Grid Menu

[1026] The user can “right click” on the results grid, to display theResults Screen menu 4000 (FIG. 40). The menu has the following options:TABLE 76 OPTION DESCRIPTION Configure Query Displays the GridConfiguration panel, which Results Grid allows the user to configure thelook and feel of the results grid. Copy Copies selected rows to theclipboard. This menu option is available when contiguous rows areselected. The grid supports multiple interval row selection, which meansthat you can select a series of rows by dragging the mouse or bypressing the CTRL key and clicking on individual rows. Tag Selected Tagsthe selected rows. This menu option is available Item (s) when one ormore rows are selected. Untag Selected Untags selected rows. This menuoption is available Item (s) when one or more rows are selected. Thisoption will not check if the row is tagged, it will untag the itemsindependent of its current tag. Invert Tags of Inverts the tag state ofthe selected items. Therefore if Selected Item (s) an item is tagged, itwill untag the item. The menu option is available when one or more rowsare selected.

[1027] The table below provides a description of the fields and buttonsin the Results screen. TABLE 77 NAME DESCRIPTION Document Type Field TheDocument Type field displays the type of documents in the results set.Navigational Buttons Moves through pages of a results set. (Top ofResult Screen) Tag All Button/Untag Selects all of the items in theresult set. Button Click the button again to deselect tagged items. SortButton Sorts the results in the set. Clicking this button opens the Sortdialog box where you can change sort fields. Remote Print/Fax Prints orfaxes tagged items to a remote printer Button or fax on the UNIX system.Print Button Prints a copy of the tagged items in the Results screen toa local network printer. Reset Button Returns the state of Tag column toits previous state. Help Button Opens a second browser window thatcontains information about using the NetQuery program. New Query ButtonStarts a new query set. Clicking this button pens a new Query screen.Stop Retrieving Interrupts the transfer of query images Results Buttonto your screen. Any images that have been downloaded before clickingthis button will be displayed in the Image screen. Close Current DisplayCloses the current Result screen and returns Button to the Query screen.Go Button Executes an image query and displays images for tagged itemsin the Image screen. The keyboard shortcut for this button is ALT+G.Status Bar Displays the number of items returned in the results set.

[1028] c. Tagging Items and Retrieving Images

[1029] After a query is executed, matching items are displayed in theResult screen. To view images, the user should tag any items that hewants to view. To tag an item, click in the checkbox next to the item.Tagging an item places a checkmark in the Tag column. After items havebeen tagged, the user is ready to submit an image query. An image queryretrieves the documents for all tagged items and displays the images inthe Image screen. The user should execute a query and receive queryresults before retrieving images.

[1030] d. Sorting Query Results

[1031] The user can change how items in the results set are sorted. Thesort feature allows the user to organize items by a particular field orfields. A field can be sorted in ascending or descending order. Clickingthe Sort button opens the Sort Result dialog box, where sort fields areselected. The user can sort using one or more fields (e.g., sort using afirst field and then, sort using a second field). Different sort fieldsinclude, but is not limited to, Transit Routing, Account, MasterAccount, Serial, Transaction Code, Amount, Posting Date, DIN, ExceptionCode, and Decision Type.

[1032] e. Changing Column Order

[1033] For printing or viewing purposes, the user may want to change theorder of columns in the Results screen. The user can rearrange columnsby clicking-and-dragging a column label to a new position in the resultslist.

[1034] f. Printing Query Results to Local Printer

[1035] The user can print a list of the currently tagged items, and/orthe items themselves. In one embodiment, the fields that print under theimage are defined in a Sybase table user settings.

[1036] A Print Setup window 4100 (FIG. 41) can be used to control theformat of the hard copy. The window shown includes an orientationsection 4105, a text properties section 4110, a logo section4115, amargins section 4120, a print quality section 4130, and an optionssection 4140.

[1037] Additionally, field information can print under each image. The‘number of image info lines’ parameter, defined in user settings, tellsthe system how many fields to print/fax under check images. If thisparameter is not defined in user settings, then the default is 3. Thefields the user chooses to be printed must be a subset of the itemsselected for the results list.

[1038] g. Viewing Multiple Query Results

[1039] If the user has several query sets open, he can switch betweenthe open query results.

[1040] h. Navigating in the Result Screen

[1041] The navigational buttons at the top of the Result screen allowthe user to move through the pages of query results for one query set.The navigational buttons at the lower-left comer of the Result screenallows the user to switch between query sets. Clicking one of thesebuttons displays the results of the selected query set. Of course, otherlocations for the buttons is possible.

[1042] 5. Image Screen

[1043] a. Overview of the Image Screen

[1044] The Image screen 4200 (FIG. 42) displays document images for anyitems the user has tagged. This screen 4200 opens after the user submitsan image query from the Result screen 4000.

[1045] The user can perform the following tasks in the Image screen:adjust image magnification, rotate images on the screen, invert orreverse image colors, print images to a local network printer or aremote printer on the UNIX system, view document information, accesshelp about NetQuery, and navigate between query sets.

[1046] The table below provides a description of the buttons in theImage screen. TABLE 78 NAME DESCRIPTION Document Type Field The DocumentType field displays the type of documents contained in the query setimages. Navigational Buttons Use the Image navigational buttons at thetop of the Image screen to move between images in a query set. RemotePrint/Fax Prints or faxes a document to a remote printer Button or faxon the UNIX system. Print Button Prints a copy of the currentlydisplayed image to a local network printer. Add/Remove Displays theDocument Information window. Document This window is located at thebottom of the Information Button Image screen and displays the image'sdata field information. Use the Remove Document Information button toclose the Document Information window. Reset Button Reloads the currentdocument in the Image screen. Help Button Opens a second browser windowthat contains information about using the NetQuery program. Zoom InButton Increases the size of the current image in the Image screen. ZoomOut Button Decreases the size of the current image in the Image screen.Zoom Box To manually change the magnification of an image, double-clickin the Zoom box and then type a magnification percent. Scale To Fit Fitsthe entire width of the image in the Horizontally Button Image screen.Scale To Fit In Fits the entire image in the Image screen. Window ButtonPrevious Page Button Displays the previous view of the current item.Next Page Button Displays the next view of the current item. Rotate LeftButton Rotates the image left 90 degrees. Rotate 180 Degrees Rotates theimage 180 degrees. Button Rotate Right Button Rotates the image right 90degrees. Invert Button Reverses the colors of the image. NavigationalButtons See Quick Guide to Navigational Buttons. (Below the displayarea.) Cancel Button Interrupts the transfer of images to your computer.Any images that have been downloaded before you click this button willbe displayed in the Image screen. New Query Button Creates a new queryset. Close Current Closes the Image screen and Display Button returns tothe Result screen. Go Button The Go button is greyed out and cannot beused in the Image screen.

[1047] b. Viewing Document Information

[1048] The user can view document information for images in the Imagescreen 4200. The document information window 4205 contains the fielddata for the current image and is displayed in a separate window at thelower-end of the Image screen 4200. The Document Information window 4205contains two rows: The first row consists of field labels; the secondrow contains the corresponding field values for the image.

[1049] c. Navigating Between Images In a Query Set

[1050] The navigational buttons at the top of the Image screen allow theuser to move between and display images in a query set. The Next Itembutton 4210 displays the next image in the query set. The Previous Itembutton 4215 displays the previous image in the query set. The Last Itembutton 4220 displays the last image in the query set. The First Itembutton 4225 displays the first image in the query set.

[1051] d. Changing the View of an Image

[1052] Most items or images are comprised of more than one view. Forexample, a check is made up of both a front view and a back view. Eachview of an image is displayed on a separate page in the Image screen.The Next button displays the next view of the image. The Previous buttonreturns to the previous view of the image.

[1053] 6. Decision Support

[1054] a. Overview of Decision Support

[1055] Support adds the capability to NetQuery to manage pay/no pay, payamounts, and other factors for documents with fields that trigger thecapture program's Exception Code generator. Decision Support allows theuser to access items with an Exception Code greater than zero, andchange pay/no pay decisions. The user can then update the database usingthis changed information.

[1056] Index fields added to NetQuery, to accommodate Decision Support,include: Exception Codes, Decision Type Codes, New_Pay_Amount, andNew_Serial. These index fields are editable with Decision Support turnedon, and in Image mode, where the user can see the document and thedatabase information at the same time.

[1057] (i) Overview of Exception Codes

[1058] If an item matches any qualifiers, the item has an Exception Codeof 1, or greater. Items that do not match any of the qualifiers have anException Code of 0. The user's policy may be that items will only bereviewed for payment decisions if the items match one of yourqualifiers, such as high dollar amount, stale payment date, invalidsignature, and/or endorsement missing.

[1059] b. Overview of Decision Type Codes

[1060] Decision Support provides a set of Decision Type codes toaccommodate pay/no pay decisions. The number of codes can be expanded toprovide for each institution's particular needs. Decision Type codevalues are available for editing when Decision Support is active, andthe Image screen is displayed.

[1061] Standard check-related Decision Type codes are: pay, post dated,stale dated, pay w/new account, pay w/new serial, pay w/new amount, stoppayment, endorsement irregular, signature irregular, check altered, andamounts differ. The user may have additional or different Decision Typecodes available.

[1062] c. Using Decision Support

[1063] The user performs the following acts to use Decision Support:

[1064] The user logs in to NetQuery and click on the Query tab. TheNetQuery and Decision Support buttons display in the left pane and theright pane will display the Query screen.

[1065] The user clicks on the Decision Support button.

[1066] From Available Databases, the user chooses one of more databasesto be queried.

[1067] The user selects the query criteria and date range to be used inthe query.

[1068] The user clicks the “Go” button. The Results screen will display,showing the results of the query. The Results screen will display theadditional Decision Support Fields, but they will be blank and will notbe accessible. Decision Support fields are accessible for editing in theImage screen, where the user can see the document image, and so have theinformation needed to make judgements.

[1069] The user “tags” items of interest and click the View Image Screenbutton.

[1070] The user clicks the “Go” button. After the Image screen appears,inspect the selected document and change the Decision Support fields asjudgement requires.

[1071] Decision Support-specific fields include: TABLE 79 FIELDDESCRIPTION Exception_Code Indicates a fault was detected for the itemduring the image capture process. Exception Codes higher than zero (0)indicate problems. The criticality of the problem is indicated by themagnitude of the number (up to 10) assigned to the Exception Code.Decision_Type Change the Decision Type field to indicate the reason foraltering the item's fields. New_Pay_Amount When the amount field is tobe changed, type the new pay amount into this field. New_Serial When theitem's serial number was originally recorded incorrectly, type thecorrect serial number in this field.

[1072] When finished, the user clicks the “Go” button. The decisionsupport changes will update in the database.

[1073] The user “views” the changed information.

[1074] If required, the user can distribute the changed information byprint or fax. The user can distribute the changed information by taggingdesired items in the Results screen, and clicking the Remote Print/Faxbutton.

[1075] 7. Manual Update

[1076] a. Overview of Manual Update

[1077] Manual Update allows simple manual adjustments to document MICRdata. When the user makes manual changes and then clicks the “Go”button, the database is updated with the changes the user has made.

[1078] b. Performing Manual Updates

[1079] The user performs the following acts to perform a manual update:

[1080] The user logs in to NetQuery and clicks the Query button. TheManual Update button displays, along with other purchased functions.

[1081] The user clicks the Manual Update button. The standard Queryscreen displays.

[1082] The user makes a query and tag items.

[1083] The user clicks the “Go” button. The images are retrieved, anddisplayed. The check data boxes are now editable. If the userdouble-clicks on a data box, it will be selected for editing. The usermay select one or more characters individually using the text tool,which will replace the cursor when the user moves the cursor over thedata box. The user can also double-click again to select the entirevalue.

[1084] When done, the user clicks the “Go” button. The changes you havemade will be saved to the database. The changes will not be displayedunless the user runs a query again. The changes are made in thedatabase, but the PC memory will not update until another query is run.

[1085] 8. Grid Configuration Panel

[1086] a. Overview of Grid Configuration Panel

[1087] By “right clicking” the Query screen, Image screen, or the Resultscreen the user can access the Grid Configuration panel. The GridConfiguration panel allows the user to set the display factors discussedbelow for the specific display screen. TABLE 80 OPTION DESCRIPTIONHeader (Body) font name This drop down control displays all the fontsthat are available on the system. Some of the fonts that can not bedisplayed (i.e. Windings, Symbol, Monotype, Marlett, Outlook, Bookshelf)are automatically filtered. It is not possible to screen all fonts thatcan not be displayed, therefore it is possible that you will select afont that won't work. If this occurs try a different font. Header (Body)The font size in points. Allowable font size sizes are 9 pt to 20 pt.Header (Body) The font style. Available font styles font style arePlain, Italic, and Bold. Colors Pressing any of the buttons displays theSelect a Color dialog (shown below), which allows you to select thedesired color for the desired component. Show Grid Lines Toggles thegrid lines on or off. If Show Grid Lines is off, both the ShowHorizontal Lines and Show Vertical Lines options will be disabled and nolines will be displayed. If Show Grid Lines is on, both the ShowHorizontal Lines and Show Vertical Lines options will be enabled, butonly the line(s) selected will display. Cancel Pressing the Cancelbutton cancels all changes.

[1088] Clicking the “Go” button applies all your changes and saves allthe parameters. When the font is changed, the width of all the columnsis recalculated to be able to display the information. The only gridthat may not be adjusted optimally is the Query Definition grid. This isbecause the grid is not allowed to grow beyond the bounds of the applet.All other grids are contained in a scroll pane and are allowed to growpast the edge of the applet.

[1089] H. Seal Verification

[1090] 1. Overview

[1091] In another application, the object checks are encoded with a“secured seal” that contains specific information (e.g., check value,payee, date, check number, branch name, MICR information, etc.) about acheck. When the check is presented at the bank for payment, the scannerincludes an application that deciphers the “secured seal” to allow forverification that the check was properly issued and has not beenaltered. An example application for obtaining information from a seal orwatermark is offered by Signum Technologies. In one specific embodiment,data is encoded and printed as a seal, watermark, diagram, picture,illustration, stamp, figure, or similar item (collectively referred toas a “seal”). Upon scanning the image, the application enlarges the sealand obtains the encoded data using a key. The application then decodesthe obtained data.

[1092] In one embodiment, the obtained from the seal is imported intothe host server 110 as an XML file along with the associated checkimage. A character recognition engine processes the check image byrecognizing the payee and CAR amount of the check. The recognizedresults are then validated against the seal along with other check datapassed by the scanner. The results are viewed via a document queryapplication (e.g., NetQuery) and displayed in a standard report. Anotherembodiment 4900 is schematically shown in FIG. 49.

[1093] 2. Import Utility Service

[1094] a. Description

[1095] The import utility service captures the document data and imagesinto the EIMA system 100 for the recognition process. The import serviceessentially locates the document image files from the network accessibledirectory, places the document image files in a specified location forrecognition, and inserts the corresponding document data into thedatabase for processing. In one embodiment, the document data that isinserted into the database for processing contains the followinginformation: TABLE 81 INFORMATION DESCRIPTION Document Key This is anoptional string value that is used to identify the document on thesource system. Form ID An integer value that is used to identify theForm definition that is to be used during the recognition process. ImageFile A string value that is the path and filename of the TIF file forthe specified document. Zone data For each field of data that is to berecognized from a document, specific zone information is required. Thezone data includes: zone name, actual, recognized Zone Name The name ofthe specific zone as specified in the form definition. (Payee Name, $Amount, Account Number, Check Serial Number, Routing Number). Actual Theactual value of the specific zone. Recognized The recognized value ofthe specific zone. This value will be compared with the actual value fordata validation.

[1096] b. Importing objects.

[1097] To import the objects of interest, the user performs thefollowing acts:

[1098] The user accesses the EIMA System web site and enters the importapplication.

[1099] The user enters his login ID and password. Assuming theinformation is correct, the application is provided to the user.

[1100] The user enters the server name that holds the desired database,and the database name where the document information is stored. TheImport Process screen 4300 (FIG. 43) is displayed.

[1101] The user then selects the XML source directory and the Tiff filesource directory. The source and Tiff file directory are the networkaccessible directories where the image files and corresponding imagedata are located. The user then clicks the Start button 4305 to startthe import process.

[1102] Once the import process is initialized, the application is in an“In Process” mode and the screen displays the XML filename, date andtime of the import process and the number of documents that are beingimported to EIMA system 100. To stop the import process or clear thedisplay, the user clicks the stop or clear list buttons 4305 or 4310.When all the files have been imported to the database, the applicationcontinues to check the source directory and imports documents that areavailable from that directory. This window can be minimized so theimport process application runs in the background.

[1103] c. Error Handling

[1104] (i) Invalid Form ID

[1105] An invalid form id error occurs when the form id in the XML filedoes not correspond to the form id defined in the application. When thishappens, an error message is displayed. The user has the option tocontinue with the import process or stop the process. Selecting theformer resumes the import process and the next document in the XML fileis selected for processing. Selecting the latter stops the importprocess.

[1106] (ii) Image File Error

[1107] An image file error occurs when the image file (Tiff image andassociated XML data) does not exist in the directory. When this happens,an error message is displayed. The user has the option to continue withthe import process or stop the process. Selecting the former resumes theimport process and the next document in the XML file is selected forprocessing. Selecting the latter stops the import process.

[1108] (iii) Database transaction error

[1109] Network failures, performance, or licensing issues are someincidents that can cause a database transaction error to occur. Whenthis happens, the import application raises the specific error and theimport process is halted. The user should fix the error before resumingthe process.

[1110] 3. Recognition

[1111] a. Description

[1112] The Recognition application processes the document images thatare ready for recognition. In one embodiment, the application processesthe images on a FIFO (First In First Out) basis. FIFO is determined bythe order of the documents imported into the host system 110. Characterrecognition is performed on the specified zones on a document and thenecessary data is updated in the database.

[1113] b. Launching the Recognition Application.

[1114] The user accesses the EIMA System web site and launches the sealverification application.

[1115] The user enters his login ID and password. Assuming theinformation is correct, the application is provided to the user.

[1116] The user enters the server name that holds the desired database,and the database name where the document information is stored. TheRecognition window is displayed.

[1117] The user clicks the start button to start the recognitionprocess. The recognition application will continuously poll the databasefor images to recognize.

[1118] 4. Document Query

[1119] a. Description

[1120] The document query application displays images and data forspecific documents that have passed or failed the data validationprocess. Document records that have gone through the recognition processare marked as either pass or fail depending on the validation of the“recognized” and “actual” data values from the seal. Each specificdocument whether it passes or fails can be viewed in the document queryapplication for a limited period of time (e.g., 15 days prior to thecurrent date).

[1121] b. Launching the Document Query application

[1122] To launch the document query application, the user performs thefollowing acts:

[1123] The user accesses the EIMA System web site and enters theDocument Query application.

[1124] The user enters his login ID and password. Assuming theinformation is correct, the application is provided to the user.

[1125] The user enters the server name that holds the desired database,and the database name where the document information is stored. A queryparameters screen is displayed.

[1126] The user enters the start and end dates for querying the documentrecords. The account number, which is optional, can also be entered ifthe user wants to query a specific document. Checking the queryexception box will only display items that have failed the validationprocess.

[1127] The user clicks the “Run Query” button 4405. A first image of acheck along with the recognized and seal value results are displayed forreview.

[1128] c. Use of “Hot” Keys

[1129] Each toolbar on the Query Viewer screen 4500 (FIG. 45) isassociated with a “hot” key of the user keyboard. The user uses the hotkey to review the document. Of course other keys or other methods can beused to perform the specialized tasks below. TABLE 82 KEY DESCRIPTIONPrevious or Allows the user to cycle through the previous or next nextarrow document record. (F1 & F2 respectively) Print (F3) Prints thecurrent page or selected pages. Rotate (F4) Rotates the check imageclockwise. Zoom In (F5) Magnifies the check image. Zoom Out (F6)Minimizes the check image. New Query (F7) Enables user to perform a newquery. Tab Use your tab key to tab through each of the fields in thedocument. As you tab through a field, that area on the check image willbe highlighted.

[1130] 5. Error Viewer

[1131] a. Description

[1132] The Error Viewer application contains document record(s)resulting from a recognition error. A recognition error occurs when animage that is corrupted or does not exist in the directory is introducedin the host system 110. When this happens, the document record isflagged and routed to the error viewer application. The user cannot makeany corrections or modifications to the document data but can only saveor mark the document record for deletion.

[1133] 6. Launching the Error Viewer Application

[1134] To launch the Error Viewer application, the user performs thefollowing acts:

[1135] The user accesses the EIMA System web site and enters the ErrorViewer application.

[1136] The user enters his login ID and password. Assuming theinformation is correct, the application is provided to the user.

[1137] The user enters the server name that holds the desired database,and the database name where the document information is stored. Documentrecords that have been marked for deletion are deleted instantaneouslyfrom the system and are not reported. Document records that are savedare reported on the Line Item and Exception reports as a “characterrecognition (CR) error”.

[1138] 7. User Maintenance/Reports

[1139] a. Description

[1140] The maintenance application provides the system administrator thecapability to add and update the user profile information, as well asview the list of active and inactive users. A user can also generatereports from the maintenance application. The reports display theresults of the document data that have gone through recognition andsubsequent validation in the Atlantis system. There are three basicreports that can be generated from the application. TABLE 83 REPORTDESCRIPTION Line Displays both pass and fail values including actual andItem Report recognized data for each item. Items that failed validationare highlighted. Exception Displays failed values including actual andrecognized Report data for each item. General Displays statistics on theprocessed documents. Summary Report

[1141] b. Launching the User Maintenance Application.

[1142] To launch the User Maintenance application, the user performs thefollowing acts:

[1143] The user accesses the EIMA System web site and enters the UserMaintenance application.

[1144] The user enters his login ID and password. Assuming theinformation is correct, the application is provided to the user.

[1145] The user enters the server name that holds the desired database,and the database name where the document information is stored. The UserMaintenance screen 4600 (FIG. 46) is displayed. A user maintenancewindow 4602 displays a list of active and inactive users. Thisinformation is displayed by status level then by the user's last name.

[1146] The user clicks the User Profiles button 4605.

[1147] (i) Adding New Users

[1148] Only the system administrator has the capability to add new usersto the system. From the user maintenance window, the user selects thenew button 4610. The user details window is displayed. The administratorcan then enter the user's first and last name, assign a username andpassword, and Designate the level and status of the user.

[1149] (ii) Updating Current Users

[1150] To update current users, the user selects a user and clicks thedetails button 4615 from the user maintenance window. The user can thenupdate the profile information.

[1151] c. Reports

[1152] From the maintenance window 4600, the user can click on thereports button 4620 to create a report. The reports window 4700 (FIG.47) is displayed to the user. The user can then select a report. In oneembodiment, an Excel file is generated from the list of reports. Theuser can also save the report to a directory. An example report 4800 isshown in FIG. 48. The following items can be indicated in some reports.TABLE 84 ITEM DESCRIPTION No Seal Indicates that no seal value was foundfor the payee Found name, dollar amount, account number, check serialnumber or routing number. Not available Indicates no MICR value found onthe dollar amount, account number, check serial number or routingnumber. Can also indicate low confidence during recognition. CR ErrorIndicates a recognition processing result that fell below the definedacceptance level.

I. Database Maintenance Plan Application

[1153] The Database Maintenance Plan application is used to help aninstitution set up the core maintenance tasks that are necessary toensure that their database performs well, is regularly backed up in caseof system failure, and is checked for inconsistencies. The DatabaseMaintenance Plan application creates a Server job that performs thesemaintenance tasks automatically at scheduled intervals.

[1154] The maintenance tasks that can be scheduled to run automaticallyare:

[1155] backing up the database and transaction log files and retain themfor a specific period of time,

[1156] reorganizing the data on the data and index pages by rebuildingindexes so that future growth is faster (this ensures that databasepages contain an equally distributed amount of data and free space,which allows future growth to be faster),

[1157] compressing data files by removing empty database pages, andupdating index statistics to ensure the query optimizer has up-to-dateinformation regarding the distribution of data values in the tables(this allows the query optimizer to make better judgments about the bestway to access data because it has more information about the data storedin the database),

[1158] performing internal consistency checks of the data and data pageswithin the database to ensure that a system or software problem has notdamaged data, and

[1159] backing up the database and transaction log files (this allowsyou to create a history of backups to be used in the event that you needto restore the database to a time earlier than the last databasebackup).

[1160] The results generated by the maintenance tasks can be written asa report to a text file, HTML file, or even e-mailed to anadministrator. One or more of the tasks performed by the DatabaseMaintenance Plan application are discussed above in connection withother applications. However, the Database Maintenance Plan applicationprovides an administrator with a single tool to coordinate all of thetasks.

[1161] As can be seen from the above, the invention provides a new,nonobvious, and useful electronic item management and archival systemand method of operating the same. Various features and advantages of theinvention are set forth in the following claims.

What is claimed is:
 1. An electronic item management and archival systemfor managing and archiving items, each item including at least one ofimage data, audio data, and video data and associated data relating tothe at least one of image data, audio data, and video data, the systemcomprising: an item-generation device configured to provide items; aserver in communication with the item-generation device, the serverbeing configured to receive the items from the item-generation device,archive at least one of the received items to an archive, and retrieveat least one of the archived items from the archive, the serverincluding architecture that supports a pool of threads promotingmultiple, independent archive and retrieve operations concurrently; anda storage device in communication with the server, the storage devicebeing configured to receive the archived items from the server and storethe received items.
 2. A system as set forth in claim 1 wherein at leastone of the items is image data and associated data relating to the imagedata, and the item-generation device includes a scanner.
 3. A system asset forth in claim 2 wherein the image data represents an image of afinancial document.
 4. A system as set forth in claim 2 wherein theimage data represents an image of a check and the associated dataincludes MICR data.
 5. A system as set forth in claim 2 wherein theimage data represents a form.
 6. A system as set forth in claim 1wherein at least one of the items is audio data and associated datarelating to the audio data, and the item-generation device includes amicrophone.
 7. A system as set forth in claim 1 wherein at least one ofthe items is video data and associated data relating to the video data,and the item-generation device includes a camera.
 8. A system as setforth claim 1 wherein the storage device includes RAID.
 9. A system asset forth in claim 1 wherein the storage device includes opticalstorage.
 10. A system as set forth in claim 1 wherein the storage deviceincludes magnetic storage.
 11. A system as set forth in claim 1 whereinthe magnetic storage includes tape storage.
 12. A system as set forth inclaim 1 wherein the storage device includes a memory chip.
 13. A systemas set forth in claim 1 wherein the system includes a workstation incommunication with the server, and wherein the workstation is configuredto provide a request to the server, thereby resulting in the serverretrieving at least one item of the archived items.
 14. A system as setforth in claim 13 wherein the workstation is selected from the groupconsisting of a personal computer, a Unix machine, a laptop computer,and a handheld device.
 15. A system as set forth in claim 13 wherein thesystem includes a second workstation in communication with the server,and wherein the second workstation is configured to provide a request tothe server, thereby resulting in the server retrieving at least one itemof the archived items.
 16. A system as set forth in claim 15 wherein thepool of threads includes a first thread allowing the server to retrieveat least one item of the archived items in response to the first query,wherein the pool of threads includes a second thread allowing the serverto retrieve at least one item of the archived items in response to thesecond query, and wherein the retrieving of the archived items using thefirst and second threads occurs concurrently.
 17. A system as set forthin claim 1, wherein the pool of threads includes a first thread thatpromotes archiving at least a first received item from theitem-generation device, wherein the pool of threads includes a secondthread that promotes archiving at least a second received item from theitem-generation device, and wherein the archiving of the at least firstand second received items occurs independently and concurrently.
 18. Asystem as set forth in claim 1, wherein the pool of threads includes afirst thread that promotes archiving at least a first received item fromthe item-generation device, wherein the pool of threads includes asecond thread that promotes retrieving at least a first archived itemfrom the archive, and wherein the archiving of the at least firstreceived item occurs independently and concurrently with retrieving atleast a first archive item.
 19. A system as set forth in claim 1,wherein the pool of threads includes a first thread that promotesretrieving at least a first archived item from the archive, wherein thepool of threads includes a second thread that promotes retrieving atleast a second archived item from the archive, and wherein the archivingof the at least first and second archived items occurs independently andconcurrently.
 20. A system as set forth in claim 1 wherein the serverincludes software utilitzing a Common Object Request Broker Architecture(CORBA), and a processor configured to execute the software to create abus that supports the pool of threads.
 21. A host machine for anelectronic item management and archival system, the host machinecomprising: a communications endpoint that receives items, each itemincluding at least one of image data, audio data, and video data; aprocessor connected to the communications endpoint; and softwareexecutable by the processor, the software including instructions thatcreate one or more virtual servers, the one or more virtual serversincluding at least one server that facilitates independent communicationbetween multiple Common Object Request Broker Architecture (CORBA)applications and at least one server that creates and manages anarchive.
 22. A host machine as set forth in claim 21 wherein the atleast one server that facilitates communication between CORBAapplications implements a bus service responsible to coordinate accessto the archive, the bus service coordinating multiple independent andconcurrent communications.
 23. A host machine as set forth in claim 21wherein the system includes one or more storage devices that storesitems, and wherein the at least one server that creates and manages anarchive implements a repository service that stores and retrieves videodata from the one or more storage devices, and an indexing service thatstores and retrieves query data that is associated with the video data.24. A host machine as set forth in claim 21 wherein the system includesone or more storage devices that stores items, and wherein the at leastone server that creates and manages an archive implements a repositoryservice that stores and retrieves audio data from the one or morestorage devices, and an indexing service that stores and retrieves querydata that is associated with the respective audio data.
 25. A hostmachine as set forth in claim 21 wherein the system includes one or morestorage devices that stores items, and wherein the at least one serverthat creates and manages an archive implements a repository service thatstores and retrieves image data from the one or more storage devices,and an indexing service that stores and retrieves query data that isassociated with the respective image data.
 26. A host machine as setforth in claim 25 wherein the at least one server that facilitatesconcurrent communication between CORBA applications implements a busservice responsible to coordinate multiple independent and concurrentcommunications to the archive.
 27. A host machine as set forth in claim25 wherein the system includes multiple storage devices situated overmultiple geographic locations, and wherein the at least one server thatcreates and manages an archive implements a redundancy/replicationservice that coordinates between the multiple storage devices.
 28. Ahost machine as set forth in claim 26 wherein the system includesmultiple storage devices situated over multiple geographic locations,and wherein the at least one server that creates and manages an archiveimplements a redundancy/replication service that coordinates between themultiple storage devices.
 29. A host machine as set forth in claim 25wherein the at least one server that creates and manages an archiveincludes a set service that maintains sets of data in the archive anddefines document types.
 30. A host machine as set forth in claim 28wherein the at least one server that creates and manages an archiveincludes a set service that maintains sets of data in the archive anddefines document types.
 31. A method of managing an archive havingitems, each item including a virtual object and query data associatedwith the virtual object, each virtual object selected from the groupconsisting of image data, audio data, and video data, the methodcomprising: providing a plurality of items; archiving at least one ofthe provided items to an archive; querying the archive; retrieving atleast one of the archived items from the archive; repeating one or moreof the providing, archiving, querying, and retrieving acts; andstructuring a bus that allows two or more of the providing, archiving,querying, retrieving, and repeating acts to occur concurrently.
 32. Amethod as set forth in claim 31 wherein the archive includes a localarchive.
 33. A method as set forth in claim 31 wherein the archiveincludes a distributed archive.
 34. A method as set forth in claim 31wherein the act of structuring a bus includes executing softwarecreating one or more servers.
 35. A method as set forth in claim 34wherein the act of structuring a bus includes creating a bus servicethat coordinates access to the archive and creating a bus applicationservice that controls communication of applications.
 36. A host machinefor an electronic item management and archival system, the host machinecomprising: a communications endpoint that receives items, each itemincluding at least one of image data, audio data, and video data andassociated data relating to the at least one of image data, audio data,and video data; a processor connected to the communications endpoint;and software executable by the processor, the software includinginstructions that facilitates utilization of at least one interfacemodule that accepts information in a first format and translates theaccepted information into an object having a standard format, and thataccepts objects having the standard format and translates the acceptedobjects into information having the first format, implementation of oneor more applications to manage an archive, the management of the archiveincluding archiving at least one of the received items to the archive,querying the archive, and retrieving at least one of the archived items,and communication of concurrent and independent objects on a bus betweenthe one or more applications and the archive.
 37. A host machine as setforth in claim 36 wherein the communication of the concurrent andindependent objects allows concurrent and independent archiveoperations.
 38. A host machine as set forth in claim 36 wherein thecommunication of the concurrent and independent objects allowsconcurrent and independent query operations.
 39. A host machine as setforth in claim 36 wherein the communication of the concurrent andindependent objects occurs allows concurrent and independent retrieveoperations.
 40. A host machine as set forth in claim 36 wherein thecommunication of the concurrent and independent objects allowsconcurrent and independent archive, query, and retrieve operations. 41.A host machine as set forth in claim 36 wherein at least one of theitems is image data and associated data relating to the image data. 42.A host machine as set forth in claim 41 wherein the image datarepresents an image of a financial document.
 43. A host machine as setforth in claim 42 wherein the image data represents an image of a checkand the associated data includes MICR data.
 44. A host machine as setforth in claim 42 wherein the image data represents a form.